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Filing Details

Accession Number:: 0001596783-19-000214
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-11-27 11:36:04
Reporting Period:: 2019-11-25

Accepted Time:: 2019-11-27 11:36:04
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1596783	Catalent Inc.	CTLT	Pharmaceutical Preparations (2834)	208737688

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1612357	Aristippos Gennadios	C/O Catalent, Inc. 14 Schoolhouse Road Somerset NJ 08873	President Softgel & Oral Tech	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2019-11-25	1,176	$12.14	45,408	No	4	M	Direct
Common Stock	Disposition	2019-11-25	708	$52.55	44,700	No	4	F	Direct
Common Stock	Acquisiton	2019-11-25	6,764	$12.14	51,464	No	4	M	Direct
Common Stock	Disposition	2019-11-25	4,022	$52.55	47,442	No	4	F	Direct
Common Stock	Acquisiton	2019-11-25	3,500	$12.14	50,942	No	4	M	Direct
Common Stock	Disposition	2019-11-25	2,106	$52.55	48,836	No	4	F	Direct
Common Stock	Acquisiton	2019-11-25	5,236	$18.71	54,072	No	4	M	Direct
Common Stock	Disposition	2019-11-25	3,324	$52.55	50,748	No	4	F	Direct
Common Stock	Acquisiton	2019-11-25	90,374	$18.71	141,122	No	4	M	Direct
Common Stock	Disposition	2019-11-25	57,597	$52.55	83,525	No	4	F	Direct
Common Stock	Acquisiton	2019-11-25	16,830	$20.50	100,355	No	4	M	Direct
Common Stock	Disposition	2019-11-25	10,858	$52.55	89,497	No	4	F	Direct
Common Stock	Disposition	2019-11-25	45,256	$52.55	44,241	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Options to purchase Common Stock	Disposition	2019-11-25	1,176	$0.00	1,176	$12.14
Common Stock	Options to purchase Common Stock	Disposition	2019-11-25	6,764	$0.00	6,764	$12.14
Common Stock	Options to purchase Common Stock	Disposition	2019-11-25	3,500	$0.00	3,500	$12.14
Common Stock	Options to purchase Common Stock	Disposition	2019-11-25	5,236	$0.00	5,236	$18.71
Common Stock	Options to purchase Common Stock	Disposition	2019-11-25	90,374	$0.00	90,374	$18.71
Common Stock	Options to purchase Common Stock	Disposition	2019-11-25	16,830	$0.00	16,830	$20.50

Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
	2021-02-08	No	4	M	Direct
2016-09-09	2021-02-08	No	4	M	Direct
2012-02-08	2021-02-08	No	4	M	Direct
	2023-06-25	No	4	M	Direct
	2023-09-03	No	4	M	Direct
	2024-07-30	No	4	M	Direct

Footnotes

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.
Includes restricted stock units.
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.
Represents shares sold pursuant to the Rule 10b5-1 trading plan noted in footnote 1.
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.
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)
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)
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)
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)
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)
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)