Initial Statement of Beneficial Ownership (3)
November 05 2019 - 12:13PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Grippo Michael J |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/30/2019
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3. Issuer Name and Ticker or Trading Symbol
Catalent, Inc. [CTLT]
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(Last)
(First)
(Middle)
C/O CATALENT, INC., 14 SCHOOLHOUSE ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
SVP, Strategy & Corp. Dev. / |
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(Street)
SOMERSET, NJ 08873
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 11078 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Options to purchase Common Stock (2) | (3) | 7/26/2026 | Common Stock | 11749.0 | $24.44 | D | |
| Options to purchase Common Stock (2) | (4) | 7/24/2027 | Common Stock | 8070.0 | $36.02 | D | |
| Options to purchase Common Stock (2) | (5) | 7/23/2028 | Common Stock | 6548.0 | $43.88 | D | |
| Options to purchase Common Stock (2) | (6) | 7/22/2029 | Common Stock | 6377.0 | $54.94 | D | |
| Explanation of Responses: |
| (1) | Includes restricted stock units received by the reporting person pursuant to the Issuer's long-term incentive plan. |
| (2) | Received by the reporting person pursuant to the Issuer's long-term incentive plan. |
| (3) | The options vest and become exercisable in four equal annual installments beginning on July 26, 2017. |
| (4) | The options vest and become exercisable in four equal annual installments beginning on July 24, 2018. |
| (5) | The options vest and become exercisable in four equal annual installments beginning on July 23, 2019. |
| (6) | The options vest and become exercisable in four equal annual installments beginning on July 22, 2020. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Grippo Michael J
C/O CATALENT, INC.
14 SCHOOLHOUSE ROAD
SOMERSET, NJ 08873 |
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| SVP, Strategy & Corp. Dev. |
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Signatures
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| /s/ Jose Ibietatorremendia, attorney-in-fact | | 11/5/2019 |
| **Signature of Reporting Person | Date |
Catalent (NYSE:CTLT)
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