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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 | $ 20.5 | 02/15/2019 | M(1) | 5,061 | 07/30/2015(4) | 07/30/2024 | Common Stock | 5,061 | $ 0 | 0 | D | ||||
Options to purchase Common Stock | $ 31.96 | 02/15/2019 | M(1) | 3,058 | 08/27/2016(5) | 08/27/2025 | Common Stock | 3,058 | $ 0 | 3,059 | D | ||||
Options to purchase Common Stock | $ 24.44 | 02/15/2019 | M(1) | 4,338 | 07/26/2017(6) | 07/26/2026 | Common Stock | 4,338 | $ 0 | 8,677 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Downie William C/O CATALENT, INC. 14 SCHOOLHOUSE ROAD SOMERSET, NJ 08873 |
SVP, Global Sales & Marketing |
/s/ Jose Ibietatorremendia, attorney-in-fact | 02/20/2019 | |
**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) | This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in order to implement a plan of financial diversification. |
(2) | Includes restricted stock units. |
(3) | Represents shares withheld to pay the exercise price and applicable withholding taxes associated with the exercise of stock options pursuant to the Rule 10b5-1 trading plan noted in footnote 1. |
(4) | On July 30, 2014, the reporting person was granted options to purchase 20,244 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on July 30, 2015. (S1221) |
(5) | On August 27, 2015, the reporting person was granted options to purchase 12,233 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on August 27, 2016. (S10) |
(6) | On July 26, 2016, the reporting person was granted options to purchase 17,353 shares of common stock of the Issuer, which vest and become exercisable in four equal annual installments beginning on July 26, 2017. (S68) |