Catalent, Inc.: Nasdaq/NYSE listing notice — Catalent delays Q3 FY2023 filing due to Bloomington accounting issues; receives NYSE non-compliance notice

Catalent, Inc.

Q3 FY2023 Form 10-Q delayed due to accounting adjustments related to Bloomington, Indiana operations.
Received NYSE notice of non-compliance for late filing; six-month cure period from May 15, 2023.
May 19 business update call will not review normal Q3 results; instead provides operational and leadership updates.
Updated fiscal 2023 financial guidance disclosed in presentation (specific numbers not provided in filing).
Company expects to file Form 10-Q within NYSE cure period but no assurance given.

item 2.02 item 3.01 item 9.01

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.9

Catalent, Inc. received a nyse noncompliance notice notice regarding late filing (rules 802.01E).

Exchange: nyse
Notice: noncompliance notice
Deficiency: late filing
Rules: 802.01E

Exact text from the filing

May 16, 2023, the Company received a notice (the “ NYSE Notice ”) from the New York Stock Exchange (the “ NYSE ”) that the Company is not in compliance with Section 802.01E of the NYSE Listed Company Manual as a result of its failure to timely file the Form 10-Q with the SEC. The NYSE Notice has no immediate effect on the listing of the Company’s common stock on the NYSE. The NYSE Notice informed the Company that, under NYSE rules, the Company has six months from May 15, 2023 to regain compliance with the NYSE listing standards by filing the Form 10-Q with the SEC. If the Company fails to file

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Source: SEC EDGAR

accession 0001193125-23-148808

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