Peter Zippelius - Oct 27, 2022 Form 4 Insider Report for Catalent, Inc. (CTLT)

Role
Director
Signature
/s/ Andrew C. Goldberg, as attorney-in-fact
Stock symbol
CTLT
Transactions as of
Oct 27, 2022
Transactions value $
$0
Form type
4
Date filed
10/31/2022, 05:46 PM
Previous filing
Feb 8, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CTLT Common Stock Award $0 +4.15K +52.99% $0.00 12K Oct 27, 2022 Direct F1, F2, F3
holding CTLT Common Stock 4.33M Oct 27, 2022 See footnote F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 as the regular, annual grant of restricted stock units provided by the Issuer to the reporting person pursuant to the Issuer's non-employee 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 2023 annual meeting of shareholders.
F2 Granted as compensation for services.
F3 Represents shares of Common Stock and 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 11,979 shares of Common Stock reported, 4,149 shares are shares of Common Stock underlying restricted stock units that remain subject to vesting as reported herein.
F4 Represents shares of Common Stock owned by 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"), LGP Associates VII-B LLC ("Associates VII-B"). Of the shares reported, 1,934,955 shares are owned by GEI VII, 2,286,407 shares are owned by GEI Side VII, 10,944 shares are owned by Associates VII-A, and 98,156 shares are owned by Associates VII-B.
F5 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.