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<title>ctlt-20220909</title></head><body><div style="display:none"><ix:header><ix:hidden><ix:nonNumeric contextRef="ieb40177561e24ebda942bfd5b4a914e4_D20220909-20220909" name="dei:AmendmentFlag" format="ixt:fixed-false" id="id3VybDovL2RvY3MudjEvZG9jOjE4YjQ3NTM0ZGZiYjQwNjdhMGUwYjkxMWQ0Y2U2YjQzL3NlYzoxOGI0NzUzNGRmYmI0MDY3YTBlMGI5MTFkNGNlNmI0M180L2ZyYWc6ZWMwNTEzY2QzMzNmNDYyY2I2ODY4YmNlOWI3ZjNhY2QvdGFibGU6OTA4ZDYxYzdmMDA1NDliY2E2ZjgwMDY4NjVkOWUwMzYvdGFibGVyYW5nZTo5MDhkNjFjN2YwMDU0OWJjYTZmODAwNjg2NWQ5ZTAzNl80LTEtMS0xLTgyNTQ4_9aa1663b-a328-4320-b661-b86f1f15b2ed">FALSE</ix:nonNumeric><ix:nonNumeric contextRef="ieb40177561e24ebda942bfd5b4a914e4_D20220909-20220909" name="dei:EntityCentralIndexKey" 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style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:97.484%"><tr><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:2pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:2pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:2pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:2pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:2pt solid #000000;padding:0 1pt"></td></tr></table></div><div><span><br/></span></div><div style="margin-bottom:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:120%">UNITED STATES</span></div><div style="margin-bottom:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:120%">SECURITIES AND EXCHANGE COMMISSION</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11pt;font-weight:700;line-height:120%">WASHINGTON, DC 20549</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">______________________________&#160;</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11pt;font-weight:700;line-height:120%">FORM <ix:nonNumeric contextRef="ieb40177561e24ebda942bfd5b4a914e4_D20220909-20220909" name="dei:DocumentType" id="id3VybDovL2RvY3MudjEvZG9jOjE4YjQ3NTM0ZGZiYjQwNjdhMGUwYjkxMWQ0Y2U2YjQzL3NlYzoxOGI0NzUzNGRmYmI0MDY3YTBlMGI5MTFkNGNlNmI0M18xL2ZyYWc6OWQwN2YzMjFiYTE0NDViY2EwNGZjNmVhMTIxNTU4YmIvdGV4dHJlZ2lvbjo5ZDA3ZjMyMWJhMTQ0NWJjYTA0ZmM2ZWExMjE1NThiYl8xNTky_a9e75cb2-a5a4-41af-a91a-574168186883">8-K</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11pt;font-weight:700;line-height:120%">CURRENT REPORT</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">______________________________&#160;</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11pt;font-weight:700;line-height:120%">PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934</span></div><div style="margin-bottom:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Date of Report (Date of earliest event reported):  <ix:nonNumeric contextRef="ieb40177561e24ebda942bfd5b4a914e4_D20220909-20220909" name="dei:DocumentPeriodEndDate" format="ixt:date-monthname-day-year-en" id="id3VybDovL2RvY3MudjEvZG9jOjE4YjQ3NTM0ZGZiYjQwNjdhMGUwYjkxMWQ0Y2U2YjQzL3NlYzoxOGI0NzUzNGRmYmI0MDY3YTBlMGI5MTFkNGNlNmI0M18xL2ZyYWc6OWQwN2YzMjFiYTE0NDViY2EwNGZjNmVhMTIxNTU4YmIvdGV4dHJlZ2lvbjo5ZDA3ZjMyMWJhMTQ0NWJjYTA0ZmM2ZWExMjE1NThiYl8xNTk4_b2e761a0-45c1-4b01-bfa4-2744fdc9daeb">September 9, 2022</ix:nonNumeric></span></div><div style="margin-bottom:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:120%"><ix:nonNumeric contextRef="ieb40177561e24ebda942bfd5b4a914e4_D20220909-20220909" name="dei:EntityRegistrantName" 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1pt;text-align:left;vertical-align:top"><div style="margin-bottom:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="ieb40177561e24ebda942bfd5b4a914e4_D20220909-20220909" name="dei:EntityFileNumber" id="id3VybDovL2RvY3MudjEvZG9jOjE4YjQ3NTM0ZGZiYjQwNjdhMGUwYjkxMWQ0Y2U2YjQzL3NlYzoxOGI0NzUzNGRmYmI0MDY3YTBlMGI5MTFkNGNlNmI0M18xL2ZyYWc6OWQwN2YzMjFiYTE0NDViY2EwNGZjNmVhMTIxNTU4YmIvdGFibGU6YmEyNmQ1ZjRkNmUxNDYxMWI5MmFlZWM5YmJiYjYyZTYvdGFibGVyYW5nZTpiYTI2ZDVmNGQ2ZTE0NjExYjkyYWVlYzliYmJiNjJlNl8wLTEtMS0xLTgyNTQ4_94eae0cd-3854-4cca-a5f9-259ef164e0d3">001-36587</ix:nonNumeric></span></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric 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colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:right;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="ieb40177561e24ebda942bfd5b4a914e4_D20220909-20220909" name="dei:EntityAddressCityOrTown" id="id3VybDovL2RvY3MudjEvZG9jOjE4YjQ3NTM0ZGZiYjQwNjdhMGUwYjkxMWQ0Y2U2YjQzL3NlYzoxOGI0NzUzNGRmYmI0MDY3YTBlMGI5MTFkNGNlNmI0M18xL2ZyYWc6OWQwN2YzMjFiYTE0NDViY2EwNGZjNmVhMTIxNTU4YmIvdGFibGU6NGIxZTA1Y2I2NTg2NDA5NWJjMmExYWMxYmUwN2U0MWUvdGFibGVyYW5nZTo0YjFlMDVjYjY1ODY0MDk1YmMyYTFhYzFiZTA3ZTQxZV8xLTEtMS0xLTgyNTQ4_f58421ea-4c98-46f5-a6ac-6c2780133716">Somerset,</ix:nonNumeric> </span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="ieb40177561e24ebda942bfd5b4a914e4_D20220909-20220909" name="dei:EntityAddressStateOrProvince" format="ixt-sec:stateprovnameen" id="id3VybDovL2RvY3MudjEvZG9jOjE4YjQ3NTM0ZGZiYjQwNjdhMGUwYjkxMWQ0Y2U2YjQzL3NlYzoxOGI0NzUzNGRmYmI0MDY3YTBlMGI5MTFkNGNlNmI0M18xL2ZyYWc6OWQwN2YzMjFiYTE0NDViY2EwNGZjNmVhMTIxNTU4YmIvdGFibGU6NGIxZTA1Y2I2NTg2NDA5NWJjMmExYWMxYmUwN2U0MWUvdGFibGVyYW5nZTo0YjFlMDVjYjY1ODY0MDk1YmMyYTFhYzFiZTA3ZTQxZV8xLTItMS0xLTgyNTQ4_3b0d52dd-a32d-4ad5-90be-291263074794">New Jersey</ix:nonNumeric></span></td><td colspan="6" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="ieb40177561e24ebda942bfd5b4a914e4_D20220909-20220909" name="dei:EntityAddressPostalZipCode" 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id="id3VybDovL2RvY3MudjEvZG9jOjE4YjQ3NTM0ZGZiYjQwNjdhMGUwYjkxMWQ0Y2U2YjQzL3NlYzoxOGI0NzUzNGRmYmI0MDY3YTBlMGI5MTFkNGNlNmI0M18xL2ZyYWc6OWQwN2YzMjFiYTE0NDViY2EwNGZjNmVhMTIxNTU4YmIvdGV4dHJlZ2lvbjo5ZDA3ZjMyMWJhMTQ0NWJjYTA0ZmM2ZWExMjE1NThiYl8xNTkw_f582a409-4b5a-44e6-a26d-44d802c0471a">&#9744;</ix:nonNumeric> </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:120%">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</span></div><div style="margin-bottom:9pt"><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:9pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="ieb40177561e24ebda942bfd5b4a914e4_D20220909-20220909" name="dei:PreCommencementTenderOffer" format="ixt-sec:boolballotbox" 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style="color:#000000;font-family:'Wingdings',sans-serif;font-size:9pt;font-weight:400;line-height:120%">&#9744;</span><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:97.484%"><tr><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td></tr></table></div><div><span><br/></span></div><div style="height:72pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><span><br/></span></div></div></div><div id="i18b47534dfbb4067a0e0b911d4ce6b43_7"></div><hr style="page-break-after:always"/><div style="min-height:72pt;width:100%"><div><span><br/></span></div></div><div style="-sec-extract:summary;padding-left:72pt;text-align:justify;text-indent:-72pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 5.02&#160;&#160;&#160;&#160;Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. </span></div><div style="padding-left:31.5pt;text-align:justify;text-indent:40.5pt"><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">New Chief Accounting Officer</span></div><div style="text-indent:31.5pt"><span><br/></span></div><div style="text-align:justify;text-indent:24.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">On September 9, 2022, the board of directors of Catalent, Inc. (&#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">Catalent</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">&#8221; and, together with its subsidiaries, the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">Company</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">&#8221;), acting by unanimous written consent, elected Karen Santiago Vice President and Chief Accounting Officer (&#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">CAO</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">&#8221;), effective as of the commencement of her employment with the Company, which occurred on September 19, 2022 (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">Effective Date</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">&#8221;). She will become a member of the Company&#8217;s Executive Leadership Team and serve as its principal accounting officer.</span></div><div style="text-align:justify;text-indent:24.5pt"><span><br/></span></div><div style="text-align:justify;text-indent:24.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">Prior to joining Catalent, Ms. Santiago spent 19 years with Bristol-Myers Squibb Company in various roles of increasing responsibility, including Senior Vice President &amp; Corporate Controller, Principal Accounting Officer from 2018 to 2022 and Lead Enabling Functions and Finance Transformation from 2016 to 2018. Since 2013 she has served on the board of The Arc of New Jersey, the state's largest organization advocating for and serving children and adults with intellectual and developmental disabilities and their families. She holds a Masters in Business Administration and a Bachelor of Science in Accounting from Rutgers University.</span></div><div style="text-align:justify;text-indent:24.5pt"><span><br/></span></div><div style="text-align:justify;text-indent:24.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">There is no arrangement or understanding between Ms. Santiago and any other person pursuant to which she was selected as CAO. There is also no family relationship between Ms. Santiago and any director or executive officer of Catalent, and she has no direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.</span></div><div style="text-align:justify;text-indent:24.5pt"><span><br/></span></div><div style="text-align:justify;text-indent:24.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">The Company has entered into an offer letter, dated August 29, 2022, with Ms. Santiago (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">Offer Letter</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">&#8221;), as well as a severance agreement which provides for terms applicable to all senior executives other than Catalent&#8217;s Chief Executive Officer and is substantially in the form (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">Form Severance Agreement</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">&#8221;) provided as Exhibit 10.3 to the Annual Report on Form 10-K filed September 17, 2010 by Catalent&#8217;s wholly owned subsidiary, Catalent Pharma Solutions, Inc. The terms of the Offer Letter and the Form Severance Agreement are summarized as follows:</span></div><div style="text-align:justify;text-indent:24.5pt"><span><br/></span></div><div style="text-align:justify;text-indent:48.95pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">Base Salary. </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">Ms. Santiago&#8217;s annual base salary will $360,000.</span></div><div style="text-align:justify;text-indent:48.95pt"><span><br/></span></div><div style="text-align:justify;text-indent:48.95pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">Bonus</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">. Ms. Santiago will be eligible for a cash bonus under the terms of the Company&#8217;s Management Incentive Plan, or MIP, the incentive-based annual cash bonus plan for the Company&#8217;s executives, with a target amount of $260,000.</span></div><div style="text-align:justify;text-indent:48.95pt"><span><br/></span></div><div style="text-align:justify;text-indent:48.95pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">Long-Term Incentive Award</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">. Ms. Santiago will be eligible to participate in Catalent&#8217;s Long-Term Incentive Plan (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">LTIP</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">&#8221;), with an annual grant target of $330,000 beginning with a pro rata grant in respect of Catalent&#8217;s 2023 fiscal year, allocated in the same manner as applies to all members of the Company&#8217;s Executive Leadership Team, with 30% granted as stock options, 20% as restricted stock units (&#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">RSUs</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">&#8221;), and 50% as performance-based RSUs (also known as &#8220;performance share units&#8221;) under Catalent&#8217;s 2018 Omnibus Incentive Plan (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">2018 Omnibus Plan</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">&#8221;) provided as Exhibit 10.1 to Catalent&#8217;s Quarterly Report on Form 10-Q filed November 6, 2018.</span></div><div style="text-indent:48.95pt"><span><br/></span></div><div style="text-align:justify;text-indent:48.95pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:112%">Termination of Employment</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">. Under her severance agreement, if Ms. Santiago were involuntarily terminated for any reason (including by her for &#8220;Good Reason,&#8221; as defined in that agreement) other than &#8220;Cause&#8221; (as defined in that agreement), death or disability, she would be entitled to (i) a severance payment equal to the sum of annual base salary and target annual bonus, payable in equal installments over the one-year period following the date of termination; and (ii) continued participation for up to one year in the Company&#8217;s group health plans (to the extent she was receiving such coverage as of the termination date), at the same premium rates as may be charged from time to time to the Company&#8217;s U.S. employees generally. In addition, under the LTIP, a termination without cause within 18 months of a change in control would result in Ms. Santiago&#8217;s unvested awards becoming fully vested and exercisable.</span></div><div style="text-align:justify;text-indent:48.95pt"><span><br/></span></div><div style="text-align:justify;text-indent:24.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">The foregoing descriptions of the Offer Letter, which is filed as Exhibit 10.1 to this Current Report on Form 8-K, and the Form Severance Agreement are qualified in their entirety by reference to the Offer Letter and the Form Severance Agreement, with the full text of each item incorporated herein by reference.</span></div><div style="height:72pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="-sec-extract:summary;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">2</span></div></div></div><hr style="page-break-after:always"/><div style="min-height:72pt;width:100%"><div><span><br/></span></div></div><div style="text-align:justify;text-indent:24.5pt"><span><br/></span></div><div style="text-align:justify;text-indent:24.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">In addition to providing the Offer Letter, Catalent agreed to grant to Ms. Santiago, as of the Effective Date, RSUs under the 2018 Omnibus Plan with a grant-date value of $150,000, which RSUs will vest on the third anniversary of grant, subject to her continued employment with the Company and her execution of and compliance with an award agreement substantially in the form provided as Exhibit 10.40 to Catalent&#8217;s Quarterly Report on Form 10-Q filed May 7, 2019, the full text of which is incorporated herein by reference.</span></div><div style="text-indent:24.5pt"><span><br/></span></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 7.01              Regulation FD Disclosure.</span></div><div style="text-align:justify"><span><br/></span></div><div style="text-align:justify;text-indent:22.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">On September 19, 2022, the Company issued a press release announcing Catalent&#8217;s election of Karen Santiago as Vice President and CAO. The full text of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.</span></div><div><span><br/></span></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 9.01              Financial Statements and Exhibits. </span></div><div style="text-align:justify"><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">         d.                   Exhibits.  The following exhibits are filed (or, in the case of Exhibit 99.1, furnished) as part of this Current Report on Form 8-K.</span></div><div style="margin-top:12pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:5.791%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:7.073%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:83.836%"></td><td style="width:0.1%"></td></tr><tr><td colspan="6" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%;text-decoration:underline">Exhibit No.</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%;text-decoration:underline">Description</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="text-align:right"><span style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline"><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline" href="ex101.htm">10.1</a></span></div></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Offer letter, dated August 29, 2022, between Karen Santiago and the Company</span></td></tr><tr><td colspan="3" style="display:none"></td><td colspan="3" style="display:none"></td><td colspan="3" style="display:none"></td></tr><tr><td colspan="3" style="display:none"></td><td colspan="3" style="display:none"></td><td colspan="3" style="display:none"></td></tr><tr><td colspan="3" style="display:none"></td><td colspan="3" style="display:none"></td><td colspan="3" style="display:none"></td></tr><tr><td colspan="3" style="display:none"></td><td colspan="3" style="display:none"></td><td colspan="3" style="display:none"></td></tr><tr><td colspan="3" style="display:none"></td><td colspan="3" style="display:none"></td><td colspan="3" style="display:none"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:middle"><div style="text-align:right"><span style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline"><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline" href="ex991.htm">99.1</a></span></div></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:middle"><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">Press release, dated September 19, 2022, issued by the Company</span></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:right;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">104</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">The cover page from this Current Report on Form 8-K, formatted in Inline XBRL.</span></td></tr></table></div><div style="text-align:center"><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">SIGNATURE</span></div><div><span><br/></span></div><div style="text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</span></div><div style="text-align:center"><span><br/></span></div><div style="text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:47.435%"><tr><td style="width:1.0%"></td><td style="width:8.359%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:89.441%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Catalent, Inc.</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">(Registrant)</span></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">By:</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">/s/ STEVEN L. FASMAN</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Steven L. Fasman</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:2pt;margin-top:2pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Executive Vice President, Chief Administrative Officer</span></div></td></tr></table></div><div><span><br/></span></div><div><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Date: September 19, 2022</span></div><div style="height:72pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="-sec-extract:summary;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">3</span></div></div></div></body></html>
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ctlt-20220909
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
______________________________
FORM
8-K
CURRENT REPORT
______________________________
PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported):
September 9, 2022
CATALENT, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-36587
20-8737688
(State or other jurisdiction of Incorporation)
(Commission File Number)
(IRS Employer Identification Number)
14 Schoolhouse Road
Somerset,
New Jersey
08873
(Address of registrant's principal executive office)
(Zip code)
(732)
537-6200
(Registrant's telephone number, including area code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 203.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading symbols(s)
Name of each exchange on which registered
Common Stock, $0.01 par value per share
CTLT
New York Stock Exchange
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☐
Item 5.02    Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
New Chief Accounting Officer
On September 9, 2022, the board of directors of Catalent, Inc. ("
Catalent
" and, together with its subsidiaries, the "
Company
"), acting by unanimous written consent, elected Karen Santiago Vice President and Chief Accounting Officer ("
CAO
"), effective as of the commencement of her employment with the Company, which occurred on September 19, 2022 (the "
Effective Date
"). She will become a member of the Company's Executive Leadership Team and serve as its principal accounting officer.
Prior to joining Catalent, Ms. Santiago spent 19 years with Bristol-Myers Squibb Company in various roles of increasing responsibility, including Senior Vice President & Corporate Controller, Principal Accounting Officer from 2018 to 2022 and Lead Enabling Functions and Finance Transformation from 2016 to 2018. Since 2013 she has served on the board of The Arc of New Jersey, the state's largest organization advocating for and serving children and adults with intellectual and developmental disabilities and their families. She holds a Masters in Business Administration and a Bachelor of Science in Accounting from Rutgers University.
There is no arrangement or understanding between Ms. Santiago and any other person pursuant to which she was selected as CAO. There is also no family relationship between Ms. Santiago and any director or executive officer of Catalent, and she has no direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.
The Company has entered into an offer letter, dated August 29, 2022, with Ms. Santiago (the "
Offer Letter
"), as well as a severance agreement which provides for terms applicable to all senior executives other than Catalent's Chief Executive Officer and is substantially in the form (the "
Form Severance Agreement
") provided as Exhibit 10.3 to the Annual Report on Form 10-K filed September 17, 2010 by Catalent's wholly owned subsidiary, Catalent Pharma Solutions, Inc. The terms of the Offer Letter and the Form Severance Agreement are summarized as follows:
Base Salary.
Ms. Santiago's annual base salary will $360,000.
Bonus
. Ms. Santiago will be eligible for a cash bonus under the terms of the Company's Management Incentive Plan, or MIP, the incentive-based annual cash bonus plan for the Company's executives, with a target amount of $260,000.
Long-Term Incentive Award
. Ms. Santiago will be eligible to participate in Catalent's Long-Term Incentive Plan (the "
LTIP
"), with an annual grant target of $330,000 beginning with a pro rata grant in respect of Catalent's 2023 fiscal year, allocated in the same manner as applies to all members of the Company's Executive Leadership Team, with 30% granted as stock options, 20% as restricted stock units ("
RSUs
"), and 50% as performance-based RSUs (also known as "performance share units") under Catalent's 2018 Omnibus Incentive Plan (the "
2018 Omnibus Plan
") provided as Exhibit 10.1 to Catalent's Quarterly Report on Form 10-Q filed November 6, 2018.
Termination of Employment
. Under her severance agreement, if Ms. Santiago were involuntarily terminated for any reason (including by her for "Good Reason," as defined in that agreement) other than "Cause" (as defined in that agreement), death or disability, she would be entitled to (i) a severance payment equal to the sum of annual base salary and target annual bonus, payable in equal installments over the one-year period following the date of termination; and (ii) continued participation for up to one year in the Company's group health plans (to the extent she was receiving such coverage as of the termination date), at the same premium rates as may be charged from time to time to the Company's U.S. employees generally. In addition, under the LTIP, a termination without cause within 18 months of a change in control would result in Ms. Santiago's unvested awards becoming fully vested and exercisable.
The foregoing descriptions of the Offer Letter, which is filed as Exhibit 10.1 to this Current Report on Form 8-K, and the Form Severance Agreement are qualified in their entirety by reference to the Offer Letter and the Form Severance Agreement, with the full text of each item incorporated herein by reference.
2
In addition to providing the Offer Letter, Catalent agreed to grant to Ms. Santiago, as of the Effective Date, RSUs under the 2018 Omnibus Plan with a grant-date value of $150,000, which RSUs will vest on the third anniversary of grant, subject to her continued employment with the Company and her execution of and compliance with an award agreement substantially in the form provided as Exhibit 10.40 to Catalent's Quarterly Report on Form 10-Q filed May 7, 2019, the full text of which is incorporated herein by reference.
Item 7.01              Regulation FD Disclosure.
On September 19, 2022, the Company issued a press release announcing Catalent's election of Karen Santiago as Vice President and CAO. The full text of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01              Financial Statements and Exhibits.
d.                   Exhibits.  The following exhibits are filed (or, in the case of Exhibit 99.1, furnished) as part of this Current Report on Form 8-K.
Exhibit No.
Description
10.1
Offer letter, dated August 29, 2022, between Karen Santiago and the Company
99.1
Press release, dated September 19, 2022, issued by the Company
104
The cover page from this Current Report on Form 8-K, formatted in Inline XBRL.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Catalent, Inc.
(Registrant)
By:
/s/ STEVEN L. FASMAN
Steven L. Fasman
Executive Vice President, Chief Administrative Officer
Date: September 19, 2022
3