Statement of Changes in Beneficial Ownership (4)
June 29 2020 - 6:54PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Gennadios Aristippos |
2. Issuer Name and Ticker or Trading Symbol
Catalent, Inc.
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CTLT
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
President Softgel & Oral Tech |
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(Last)
(First)
(Middle)
C/O CATALENT, INC., 14 SCHOOLHOUSE ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/25/2020 |
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(Street)
SOMERSET, NJ 08873
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 6/25/2020 | | M(1) | | 11799 | A | $24.44 | 56319 (2) | D | |
| Common Stock | 6/25/2020 | | F(3) | | 7039 | D | $73 | 49280 (2) | D | |
| Common Stock | 6/25/2020 | | M(1) | | 10456 | A | $31.96 | 59736 (2) | D | |
| Common Stock | 6/25/2020 | | F(3) | | 6891 | D | $73 | 52845 (2) | D | |
| Common Stock | 6/25/2020 | | S(1) | | 8325 | D | $73 | 44520 (2) | 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. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Options to purchase Common Stock | $24.44 | 6/25/2020 | | M (1) | | | 11799 | (4) | 7/26/2026 | Common Stock | 11799.0 | $0 | 3936 | D | |
| Options to purchase Common Stock | $31.96 | 6/25/2020 | | M (1) | | | 10456 | 8/27/2016 (5) | 8/27/2025 | Common Stock | 10456.0 | $0 | 0 | D | |
| Explanation of Responses: |
| (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 26, 2016, the reporting person was granted options to purchase 15,735 shares of common stock of the Issuer, which vest and become exercisable in four equal installments beginning July 26, 2017. |
| (5) | On August 27, 2015, the reporting person was granted options to purchase 10,456 shares of common stock of the Issuer, which vested and became exercisable in four equal annual installments beginning on August 27, 2016. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Gennadios Aristippos
C/O CATALENT, INC.
14 SCHOOLHOUSE ROAD
SOMERSET, NJ 08873 |
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| President Softgel & Oral Tech |
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Signatures
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| /s/ Jose Ibietatorremendia, attorney-in-fact | | 6/29/2020 |
| **Signature of Reporting Person | Date |
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