Statement of Changes in Beneficial Ownership (4)
2021年2月18日 - 11:57PM
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
*
Joseph Wetteny |
2. Issuer Name and Ticker or Trading Symbol
Catalent, Inc.
[
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) SVP & Chief Financial Officer |
(Last)
(First)
(Middle)
C/O CATALENT, INC., 14 SCHOOLHOUSE ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/16/2021 |
(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 | 2/16/2021 | | M(1) | | 1076 | A | $43.88 | 50899 (2) | D | |
Common Stock | 2/16/2021 | | M(1) | | 3924 | A | $54.94 | 54823 (2) | D | |
Common Stock | 2/16/2021 | | S(3) | | 1799 | D | $122.82 (4) | 53024 (2) | D | |
Common Stock | 2/16/2021 | | S(3) | | 1200 | D | $123.73 (5) | 51824 (2) | D | |
Common Stock | 2/16/2021 | | S(3) | | 1001 | D | $126.13 (6) | 50823 (2) | D | |
Common Stock | 2/16/2021 | | S(3) | | 1000 | D | $127 (7) | 49823 (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 | $43.88 | 2/16/2021 | | M (1) | | | 1076 | (8) | 7/23/2028 | Common Stock | 1076.0 | $0 | 17631 | D | |
Options to purchase Common Stock | $54.94 | 2/16/2021 | | M (1) | | | 3924 | (9) | 7/22/2029 | Common Stock | 3924.0 | $0 | 11773 | 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) | Shares sold pursuant to the Rule 10b5-1 trading plan noted in footnote 1. |
(4) | Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $122.46 to $123.42, 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. |
(5) | Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $123.46 to $124.26, 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. |
(6) | Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $125.82 to $126.67, 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. |
(7) | Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $126.87 to $127.54, 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. |
(8) | The options vest and become exercisable in four equal annual installments beginning on July 23, 2019. |
(9) | 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 |
Joseph Wetteny C/O CATALENT, INC. 14 SCHOOLHOUSE ROAD SOMERSET, NJ 08873 |
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| SVP & Chief Financial Officer |
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Signatures
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/s/ Jose Ibietatorremendia, attorney-in-fact | | 2/18/2021 |
**Signature of Reporting Person | Date |
Catalent (NYSE:CTLT)
過去 株価チャート
から 6 2024 まで 7 2024
Catalent (NYSE:CTLT)
過去 株価チャート
から 7 2023 まで 7 2024