Maselli Alessandro's Form 4/A amendment
AmendedCatalent, Inc. (CTLT) · filed Dec 12, 2023
- Accession no.
- 0001596783-23-000191
- Filed
- Dec 12, 2023
- Trade date
- Aug 23-24, 2023
- Filing delay
- 111 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Aug 25, 2023
This filing lists 2 non-derivative transactions. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $92.2K. It was filed 111 days after the trade.
This amendment restates part of 0001596783-23-000104 (filed Aug 25, 2023). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Maselli AlessandroCIK 0001684270 | Director, Officer (President & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 23, 2023 | Common Stock | JOtherDisposed | −3,974 | $0.00 | $0 | 84,030 | Direct | |
| Aug 24, 2023 | Common Stock | JOtherAcquired | +2,071 | –F3 | – | 86,101 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001596783-23-000104 (filed Aug 25, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 24, 2023 | Common Stock | SSaleDisposed | −1,970 | $44.51F4 | −$87,684.7 | 88,105 | Direct | |
| Aug 24, 2023 | Common Stock | SSaleDisposed | −101 | $45.15 | −$4,560.15 | 88,004 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F4
Volume-weighted average price. These shares were sold in multiple transactions at prices ranging from $44.14 to $45.04, 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.
Referenced by the price of 1 transaction in Table I.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This amendment is being filed to reflect the reversal of the acquisition of shares received by the reporting person upon the achievement of the fiscal 2021-23 performance-based vesting criteria set forth in certain incentive compensation held by the reporting person under the Issuer's long-term incentive plan, as reported in the original form 4 filed on August 25, 2023 (the "Original Form 4"). Due to the ongoing review of the Issuer's fiscal 2021-23 performance-based vesting criteria, the Compensation and Leadership Committee of the Issuer rescinded its prior approval of the vesting criteria and confirmed that the reporting person had no right to the shares previously reported on the Original Form 4.
- F2
Includes restricted stock units.
- F3
This amendment is also being filed to reflect the reversal of the disposition of shares sold by the reporting person through an automatic "sell to cover" transaction in order to cover tax withholding obligations in connection with the vesting of performance share units pursuant to the Issuer's long-term incentive plan, as reported on the Original Form 4.
Referenced by the price of 1 transaction in Table I.