Jonathan Arnold - 01 Nov 2021 Form 4 Insider Report for Catalent, Inc.

Role
Pres. Oral & Specialty Deliv.
Signature
/s/ Jose Ibietatorremendia, attorney-in-fact
Issuer symbol
N/A
Transactions as of
01 Nov 2021
Net transactions value
-$1,155,873
Form type
4
Filing time
03 Nov 2021, 15:35:03 UTC
Previous filing
18 Oct 2021
Next filing
05 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CTLT Common Stock Options Exercise $70,671 +1,962 +4.4% $36.02 47,046 01 Nov 2021 Direct F1, F2
transaction CTLT Common Stock Options Exercise $43,877 +1,039 +2.2% $42.23 48,085 01 Nov 2021 Direct F1, F2
transaction CTLT Common Stock Options Exercise $105,312 +2,400 +5% $43.88 50,485 01 Nov 2021 Direct F1, F2
transaction CTLT Common Stock Options Exercise $118,561 +2,158 +4.3% $54.94 52,643 01 Nov 2021 Direct F1, F2
transaction CTLT Common Stock Sale $1,494,293 -10,672 -20% $140.02 41,971 01 Nov 2021 Direct F2, F3, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CTLT Options to purchase Common Stock Options Exercise $0 -1,962 -100% $0.000000* 0 01 Nov 2021 Common Stock 1,962 $36.02 Direct F1, F5
transaction CTLT Options to purchase Common Stock Options Exercise $0 -1,039 -50% $0.000000 1,042 01 Nov 2021 Common Stock 1,039 $42.23 Direct F1, F6
transaction CTLT Options to purchase Common Stock Options Exercise $0 -2,400 -47% $0.000000 2,745 01 Nov 2021 Common Stock 2,400 $43.88 Direct F1, F7
transaction CTLT Options to purchase Common Stock Options Exercise $0 -2,158 -33% $0.000000 4,318 01 Nov 2021 Common Stock 2,158 $54.94 Direct F1, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 Shares sold 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 $140.00 to $140.07, 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 July 24, 2017, the reporting person was granted options to purchase 7,839 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on July 24, 2018.
F6 On October 4, 2017, the reporting person was granted options to purchase 4,159 shares of common stock of the Issuer which vest and become exercisable in four equal annual installments beginning on October 4, 2018.
F7 The options vest and become exercisable in four equal annual installments beginning on July 23, 2019.
F8 The options vest and become exercisable in four equal annual installments beginning on July 22, 2020.