CATALENT, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows, 8 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-11-18: Reporting owner Director; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2021-11-01: Reporting owner Zippelius Peter; Form 4; Security Series A Convertible Preferred Stock; Transaction Holding.
- 2020-11-23: Reporting owner Zippelius Peter; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2020-11-02: Reporting owner Zippelius Peter; Form 4; Security Series A Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-11-18 | Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote. | C Conversion of derivative security | −384,777 0 owned after | $49.54 | 2021-12-01 | |
| 2021-11-01 holding as of filing | Zippelius Peter Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | 384,777 owned after | $49.54 exercise price | 2021-11-01 | |
| 2020-11-23 | Zippelius Peter Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote. | C Conversion of derivative security | −265,223 384,777 owned after | $49.54 | 2020-11-25 | |
| 2020-11-02 holding as of filing | Zippelius Peter Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | 13,120,472 owned after | $49.54 exercise price | 2020-11-02 | |
| 2020-08-31 holding as of filing | Zippelius Peter Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | 13,120,472 owned after | $49.54 exercise price | 2020-08-31 | |
| 2019-08-26 holding as of filing | Zippelius Peter Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | 13,120,472 owned after | $49.54 exercise price | 2019-08-26 | |
| 2019-05-21 holding as of filing | Zippelius Peter Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote. | Holding | $49.54 exercise price | 2019-05-21 | ||
| 2019-05-21 holding as of filing | Zippelius Peter Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | 13,120,472 owned after | $49.54 exercise price | 2019-05-21 |