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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options to purchase Common Stock | $ 18.71 | 03/07/2019 | M | 35,000 | (3) | 06/25/2023 | Common Stock | 35,000 | $ 0 | 0 | D | ||||
Options to purchase Common Stock | $ 18.71 | 03/07/2019 | M | 13,540 | 09/09/2016 | 06/25/2023 | Common Stock | 13,540 | $ 0 | 0 | D | ||||
Options to purchase Common Stock | $ 18.71 | 03/07/2019 | M | 11,690 | (4) | 06/25/2023 | Common Stock | 11,690 | $ 0 | 0 | D | ||||
Options to purchase Common Stock | $ 12.14 | 03/07/2019 | M | 63,380 | (5) | 03/14/2021 | Common Stock | 63,380 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Miyamoto Lance C/O CATALENT, INC. 14 SCHOOLHOUSE ROAD SOMERSET, NJ 08873 |
SVP, Human Resources |
/s/ Jose Ibietatorremendia, attorney-in-fact | 03/11/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes restricted stock units. |
(2) | Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $42.40 to $42.76, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(3) | On June 25, 2013, the reporting person was granted an option to purchase 35,000 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments beginning on June 30, 2014. |
(4) | On June 25, 2013, the reporting person was granted an option to purchase 11,690 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments based on satisfaction of certain performance-based vesting criteria for each of the fiscal years ending June 30, 2014 through June 30, 2018. |
(5) | On March 14, 2011, the reporting person was granted an option to purchase common stock of the Issuer, which option began to vest and become exercisable upon the passage of time and, in certain cases, the satisfaction of performance criteria beginning March 14, 2012. |