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

Reporting relationship: Director
Issuer ticker: N/A
Reported as of: 27 Oct 2022
Net transaction value: $0
SEC form: 4
Accepted by SEC: 31 Oct 2022, 17:46:24 UTC
Prior SEC filing: 08 Feb 2022
Source filing: View source filing
Reporting owner signature: /s/ Andrew C. Goldberg, as attorney-in-fact

Key filing fact

Peter Zippelius filed Form 4 for Catalent, Inc. on 31 Oct 2022.

Key facts

This page summarizes Peter Zippelius's Form 4 filing for Catalent, Inc..
1 reported transaction and 0 derivative rows are listed below.
Accepted by SEC: 31 Oct 2022, 17:46.

Change

Previous filing in this sequence was filed on 08 Feb 2022.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CTLT transaction

Common Stock

Award

Transaction value: $0
Shares: +4,149
Change %: +53%
Price: $0.000000
Shares after: 11,979
Date: 27 Oct 2022
Ownership: Direct
Footnotes: F1, F2, F3

CTLT holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 4,330,462
Date: 27 Oct 2022
Ownership: See footnote
Footnotes: F4, F5

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 footnotes

Footnote 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.

Footnote F2

Granted as compensation for services.

Footnote 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.

Footnote 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.

Footnote 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.