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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options to purchase common stock | $ 18.57 | 09/02/2015 | A | 784 | 06/30/2013(1) | 06/30/2022 | Common Stock | 784 | $ 0 | 2,352 | D | ||||
Options to purchase common stock | $ 18.71 | 09/02/2015 | A | 5,824 | 06/25/2014(2) | 06/25/2023 | Common Stock | 5,824 | $ 0 | 8,786 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Johnson Sharon C/O CATALENT, INC. 14 SCHOOLHOUSE ROAD SOMERSET, NJ 08873 |
See Remarks |
/s/Christine Caputo, by power of attorney | 09/04/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On June 30, 2012, the reporting person was granted an option to purchase 3,920 shares of common stock of the Issuer which vest and become exercisable in five equal annual installments based on satisfaction of certain performance criteria for each of the fiscal years ending 2013, 2014, 2015, 2016 and 2017. The performance criteria for 2013, 2014 and 2015 were met, resulting in vesting of the option as to 2,352 shares in the aggregate. |
(2) | On June 25, 2013, the reporting person was granted an option to purchase 29,120 shares of common stock of the Issuer which vest and become exercisable in five equal annual installments based on satisfaction of certain performance criteria for each of the fiscal years ending 2014, 2015, 2016, 2017 and 2018. The performance criteria for 2014 and 2015 were met, resulting in vesting of the option as to 11,648 shares in the aggregate. On February 13, 2014, the reporting person exercised 2,862 options of such vesting as reported on the Statement of Changes in Beneficial Ownership on Form 4, filed with the Securities and Exchange Commission on February 19, 2015. |
(3) | The Statement of Changes in Beneficial Ownership on Form 4, filed with the Securities and Exchange Commission on February 19, 2015, incorrectly stated that the number of derivative securities beneficially owned by the reporting person following the transaction that occurred on February 13, 2015 was 26,258, which included the portion of the option that had not vested. The correct number of derivative securities beneficially owned by the reporting person following the February 13, 2015 transaction and this transaction is 8,786 in the aggregate. |
Remarks: Senior Vice President - Quality, Product Development & Regulatory Affairs |