Sec Form 4 Filing - Gennadios Aristippos @ Catalent, Inc. - 2019-11-25

Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security.

Form 4: Statement of changes in beneficial ownership, filed before the end of the 2nd business day following the day on which a transaction resulting in a change in beneficial ownership.

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The following is an SEC EDGAR document rendered as filed.
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person *
Gennadios Aristippos
2. Issuer Name and Ticker or Trading Symbol
Catalent, Inc. [ CTLT]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
President Softgel & Oral Tech
(Last)
(First)
(Middle)
C/O CATALENT, INC., 14 SCHOOLHOUSE ROAD
3. Date of Earliest Transaction (MM/DD/YY)
11/25/2019
(Street)
SOMERSET, NJ08873
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/25/2019 M( 1 ) 1,176 A $ 12.14 45,408 ( 2 ) D
Common Stock 11/25/2019 F( 3 ) 708 D $ 52.55 44,700 ( 2 ) D
Common Stock 11/25/2019 M( 1 ) 6,764 A $ 12.14 51,464 ( 2 ) D
Common Stock 11/25/2019 F( 3 ) 4,022 D $ 52.55 47,442 ( 2 ) D
Common Stock 11/25/2019 M( 1 ) 3,500 A $ 12.14 50,942 ( 2 ) D
Common Stock 11/25/2019 F( 3 ) 2,106 D $ 52.55 48,836 ( 2 ) D
Common Stock 11/25/2019 M( 1 ) 5,236 A $ 18.71 54,072 ( 2 ) D
Common Stock 11/25/2019 F( 3 ) 3,324 D $ 52.55 50,748 ( 2 ) D
Common Stock 11/25/2019 M( 1 ) 90,374 A $ 18.71 141,122 ( 2 ) D
Common Stock 11/25/2019 F( 3 ) 57,597 D $ 52.55 83,525 ( 2 ) D
Common Stock 11/25/2019 M( 1 ) 16,830 A $ 20.5 100,355 ( 2 ) D
Common Stock 11/25/2019 F( 3 ) 10,858 D $ 52.55 89,497 ( 2 ) D
Common Stock 11/25/2019 S( 4 ) 45,256 D $ 52.55 ( 5 ) 44,241 ( 2 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Options to purchase Common Stock $ 12.14 11/25/2019 M( 1 ) 1,176 ( 6 ) 02/08/2021 Common Stock 1,176 $ 0 0 D
Options to purchase Common Stock $ 12.14 11/25/2019 M( 1 ) 6,764 09/09/2016( 7 ) 02/08/2021 Common Stock 6,764 $ 0 0 D
Options to purchase Common Stock $ 12.14 11/25/2019 M( 1 ) 3,500 02/08/2012( 8 ) 02/08/2021 Common Stock 3,500 $ 0 0 D
Options to purchase Common Stock $ 18.71 11/25/2019 M( 1 ) 5,236 ( 9 ) 06/25/2023 Common Stock 5,236 $ 0 0 D
Options to purchase Common Stock $ 18.71 11/25/2019 M( 1 ) 90,374 ( 10 ) 09/03/2023 Common Stock 90,374 $ 0 0 D
Options to purchase Common Stock $ 20.5 11/25/2019 M( 1 ) 16,830 ( 11 ) 07/30/2024 Common Stock 16,830 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Gennadios Aristippos
C/O CATALENT, INC.
14 SCHOOLHOUSE ROAD
SOMERSET, NJ08873
President Softgel & Oral Tech
Signatures
/s/ Jose Ibietatorremendia, attorney-in-fact 11/27/2019
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )Includes restricted stock units.
( 3 )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.
( 4 )Represents shares sold pursuant to the Rule 10b5-1 trading plan noted in footnote 1.
( 5 )Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $52.50 to $53.09, 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.
( 6 )On February 8, 2011, the reporting person was granted an option to purchase 5,880 shares of common stock of the Issuer which vested and became exercisable in five equal annual installments based on satisfaction of certain performance criteria for each of the fiscal years ending 2011, 2012, 2013, 2014, and 2015. (S1072)
( 7 )Due to the satisfaction of a market-based vesting condition, on September 9, 2016, the reporting person was issued 6,764 vested and exercisable options to purchase shares of common stock of the Issuer. (S1132,S1175)
( 8 )On February 8, 2011, the reporting person was granted an option to purchase 17,500 shares of common stock of the Issuer, which vested and became exercisable in five equal annual installments beginning on February 8, 2012. (S1029)
( 9 )On June 25, 2013, the reporting person was granted an option to purchase 13,090 shares of common stock of the Issuer which could 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 the vesting of the option as to 5,236 shares in the aggregate. (S1094)
( 10 )On September 3, 2013, the reporting person was granted options to purchase common stock of the Issuer, which options began to vest and become exercisable upon the passage of time and, in certain cases, the satisfaction of performance criteria beginning September 3, 2014. (S1110,S1051,S1196,S1153)
( 11 )On July 30, 2014, the reporting person was granted an option to purchase 16,830 shares of common stock of the Issuer, which vested and became exercisable in four equal annual installments beginning on July 30, 2015. (S1225)

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.