4//SEC Filing
Zippelius Peter 4
Accession 0001209191-20-056447
CIK 0001596783other
Filed
Nov 1, 7:00 PM ET
Accepted
Nov 2, 5:48 PM ET
Size
9.2 KB
Accession
0001209191-20-056447
Insider Transaction Report
Form 4
Catalent, Inc.CTLT
Zippelius Peter
Director
Transactions
- Award
Common Stock
2020-10-29+2,125→ 6,428 total
Holdings
- 13,120,472(indirect: See footnote)
Series A Convertible Preferred Stock
Exercise: $49.54→ Common Stock (13,120,472 underlying)
Footnotes (9)
- [F1]Represents shares of Common Stock of the Issuer, par value $0.01 per share (the "Common Stock") underlying restricted stock units awarded to the reporting person in connection with his service as a member of the Issuer's board of directors and comprising the regular, annual grant of restricted stock units provided to non-management directors pursuant to the Issuer's non-management director compensation package. Each restricted stock unit represents the right to receive one share of Common Stock as of the date of vesting which will occur on the earlier of one year from the date of the award and the date of the Issuer's fiscal 2021 annual meeting of shareholders.
- [F2]Granted as compensation for services.
- [F3]Represents shares of Common Stock underlying restricted stock units. The shares reported on this row are held by Mr. Zippelius for the benefit of Leonard Green & Partners, L.P. Each restricted stock unit represents the right to receive one share of Common Stock. Of the 6,428 shares of Common Stock reported, 3,642 are vested, 661 will vest on August 27, 2021, and 2,125 will vest on the earlier of October 29, 2021 and the date of the Issuer's fiscal 2021 annual meeting of shareholders.
- [F4]Series A Convertible Preferred Stock, par value $0.01 per share ("Series A Convertible Preferred Stock").
- [F5]The Series A Convertible Preferred Stock was acquired for $1,000.00 per share and is convertible into Common Stock of the Issuer at a conversion price of $49.5409 per share. The conversion price is subject to certain anti-dilution and other adjustments.
- [F6]Immediately.
- [F7]The Series A Convertible Preferred Stock does not have an expiration date.
- [F8]Green Equity Investors VII, L.P. ("GEI VII"), Green Equity Investors Side VII, L.P. ("GEI Side VII"), LGP Associates VII-A LLC ("Associates VII-A") and LGP Associates VII-B LLC ("Associates VII-B") are the direct owners of the shares reported herein.
- [F9]Mr. Zippelius directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VII, GEI Side VII, Associates VII-A, and Associates VII-B. Mr. Zippelius disclaims beneficial ownership of the shares held by each of GEI VII, GEI Side VII, Associates VII-A, and Associates VII-B except to the extent of his pecuniary interest therein, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Documents
Issuer
Catalent, Inc.
CIK 0001596783
Entity typeother
Related Parties
1- filerCIK 0001775433
Filing Metadata
- Form type
- 4
- Filed
- Nov 1, 7:00 PM ET
- Accepted
- Nov 2, 5:48 PM ET
- Size
- 9.2 KB