Littlejohns Barry 4

Accession 0001596783-18-000156

CIK 0001596783other

Filed

Oct 16, 8:00 PM ET

Accepted

Oct 17, 12:28 PM ET

Size

26.1 KB

Accession

0001596783-18-000156

Form 4

Period: 2018-10-15

See Remarks

Transactions

Exercise/Conversion
Common Stock
2018-10-15$14.86/sh+87,500$1,300,250→ 125,218 total
Exercise/Conversion
Options to purchase Common Stock
2018-10-15−87,500→ 0 total
Exercise: $14.86Exp: 2021-09-15→ Common Stock (87,500 underlying)
Exercise/Conversion
Options to purchase Common Stock
2018-10-15−4,783→ 29,120 total
Exercise: $14.86From: 2016-09-09Exp: 2021-09-15→ Common Stock (4,783 underlying)
Tax Payment
Common Stock
2018-10-15$41.64/sh−58,940$2,454,262→ 66,278 total
Tax Payment
Common Stock
2018-10-15$41.64/sh−3,222$134,164→ 75,479 total
Exercise/Conversion
Options to purchase Common Stock
2018-10-15−23,408→ 0 total
Exercise: $14.86Exp: 2021-09-15→ Common Stock (23,408 underlying)
Sale
Common Stock
2018-10-15$41.64/sh−47,265$1,968,115→ 37,718 total
Exercise/Conversion
Options to purchase Common Stock
2018-10-15−29,120→ 0 total
Exercise: $14.86From: 2016-09-09Exp: 2021-09-15→ Common Stock (29,120 underlying)
Exercise/Conversion
Common Stock
2018-10-15$14.86/sh+23,408$347,843→ 89,686 total
Exercise/Conversion
Common Stock
2018-10-15$14.86/sh+4,783$71,075→ 78,701 total
Tax Payment
Common Stock
2018-10-15$41.64/sh−15,768$656,580→ 73,918 total
Exercise/Conversion
Common Stock
2018-10-15$14.86/sh+29,120$432,723→ 104,599 total
Tax Payment
Common Stock
2018-10-15$41.64/sh−19,616$816,810→ 84,983 total

Footnotes (6)

[F1]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.
[F2]Includes restricted stock units.
[F3]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.
[F4]Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $41.50 to $41.94, 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.
[F5]On September 15, 2011, the reporting person was granted an option to purchase 87,500 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments beginning on September 15, 2012. (S1034)
[F6]On September 15, 2011, the reporting person was granted options to purchase 29,260 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments (beginning on September 15, 2012) upon the satisfaction of certain performance criteria. The performance criteria were met in respect of 23,408 options. The remaining 5,852 options have been cancelled. (S1077)

Documents

1 file

Catalent, Inc.

CIK 0001596783

Entity typeother