Statement of Changes in Beneficial Ownership (4)
September 13 2021 - 4:22PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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GTCR INVESTMENT XI LLC |
2. Issuer Name and Ticker or Trading Symbol
MARAVAI LIFESCIENCES HOLDINGS, INC.
[
MRVI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O GTCR, LLC, 300 N. LASALLE SUITE 5600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/9/2021 |
(Street)
CHICAGO, IL 60654
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 9/9/2021 | | D(1) | | 2931441 (1) | D | $50.00 | 21681033 (2)(3) | I | See footnotes (2)(3) |
Class B Common Stock | 9/9/2021 | | J(4) | | 17068559 (4) | D | (4) | 126239611 (5) | I | See footnote (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Common Units | (6) | 9/9/2021 | | D (1) | | | 17068559 | (6) | (6) | Class A Common Stock | 17068559 | $50.00 | 126239611 | I | See footnote (7) |
Explanation of Responses: |
(1) | On September 9, 2021, the Reporting Persons sold an aggregate 20,000,000 shares of Class A common stock, par value $0.01 ("Class A Common Stock"), of Maravai LifeSciences Holdings, Inc. (the "Issuer") in an underwritten public offering pursuant to the Issuer's Registration Statement on Form S-1 (File No. 333-259366). The aggregate 20,000,000 shares of Class A Common Stock sold by the Reporting Persons include (a) 17,068,559 shares of Class A Common Stock sold by Maravai Life Sciences Holdings, LLC ("MLSH 1") and (b) 2,931,441 shares of Class A Common Stock sold by Maravai Life Sciences Holdings 2, LLC. ("MLSH 2"). |
(2) | Reflects Class A Common Stock held directly by MLSH 2. MLSH 2 is managed by a board of managers controlled by GTCR Fund XI/C LP ("GTCR Fund XI/C"). GTCR Partners XI/A&C LP ("GTCR Partners XI/A&C") is the general partner of GTCR Fund XI/C. GTCR Investment XI LLC ("GTCR Investment XI") is the general partner of GTCR Partners XI/A&C. GTCR Investment XI is managed by a board of managers (the "GTCR Board of Managers") consisting of Mark M. Anderson, Craig A. Bondy, Aaron D. Cohen, Sean L. Cunningham, Benjamin J. Daverman, David A. Donnini, Constantine S. Mihas and Collin E. Roche, and no single person has voting or dispositive authority over the Class A Common Stock. |
(3) | (Continued From Footnote 2) Each of GTCR Partners XI/A&C, GTCR Investment XI and the GTCR Board of Managers may be deemed to share beneficial ownership of the Class A Common Stock held of record by MLSH 2, and each of the individual members of the GTCR Board of Managers disclaims beneficial ownership of the Class A Common Stock held of record by MLSH 2 except to the extent of his pecuniary interest therein. |
(4) | Reflects the shares of the Issuer's Class B common stock, par value $0.01 (the "Class B Common Stock") exchanged for shares of Class A Common Stock sold. |
(5) | Reflects Class B Common Stock held directly by MLSH 1. MLSH 1 is managed by a board of managers controlled by GTCR Fund XI/B LP ("GTCR Fund XI/B") and GTCR Co-Invest XI LP ("GTCR Co-Invest XI"). GTCR Partners XI/B LP ("GTCR Partners XI/B") is the general partner of GTCR Fund XI/B. GTCR Investment XI is the general partner of GTCR Co-Invest XI and GTCR Partners XI/B. GTCR Investment XI is managed by the GTCR Board of Managers, and no single person has voting or dispositive authority over the Class B Common Stock. Each of GTCR Partners XI/B, GTCR Investment XI and the GTCR Board of Managers may be deemed to share beneficial ownership of the Class B Common Stock held of record by MLSH 1, and each of the individual members of the GTCR Board of Managers disclaims beneficial ownership of the Class B Common Stock held of record by MLSH 1 except to the extent of his pecuniary interest therein. |
(6) | Pursuant to the Exchange Agreement dated November 19, 2020, by and among the Issuer, Maravai Topco Holdings, LLC and MLSH 1 (the "Exchange Agreement"), the Common Units (together with one share of Class B Common Stock for every Common Unit) are exchangeable for one share of Class A Common Stock. Common Units do not expire. |
(7) | Reflects Common Units owned directly by MLSH 1. Each Common Unit is exchangeable for one share of Class A Common Stock pursuant to the Exchange Agreement. |
Remarks: Each of the reporting persons is a director-by-deputization solely for purposes of Section 16 of the Securities Exchange Act of 1934. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GTCR INVESTMENT XI LLC C/O GTCR, LLC 300 N. LASALLE SUITE 5600 CHICAGO, IL 60654 | X | X |
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MARAVAI LIFE SCIENCES HOLDINGS, LLC C/O MARAVAI LIFE SCIENCES HOLDINGS, INC. 10770 WATERIDGE CIRCLE SUITE 200 SAN DIEGO, CA 92121 | X | X |
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MARAVAI LIFE SCIENCES HOLDINGS 2, LLC C/O MARAVAI LIFE SCIENCES HOLDINGS, INC. 10770 WATERIDGE CIRCLE SUITE 200 SAN DIEGO, CA 92121 | X | X |
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GTCR FUND XI/B LP C/O GTCR LLC 300 N. LASALLE SUITE 5600 CHICAGO, IL 60654 | X | X |
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GTCR FUND XI/C LP C/O GTCR LLC 300 N. LASALLE SUITE 5600 CHICAGO, IL 60654 | X | X |
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GTCR CO-INVEST XI LP C/O GTCR LLC 300 N. LASALLE SUITE 5600 CHICAGO, IL 60654 | X | X |
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GTCR PARTNERS XI/A&C LP C/O GTCR LLC 300 N. LASALLE SUITE 5600 CHICAGO, IL 60654 | X | X |
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GTCR PARTNERS XI/B LP C/O GTCR LLC 300 N. LASALLE SUITE 5600 CHICAGO, IL 60654 | X | X |
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Signatures
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/s/ Carl Hull, as chief executive officer of Maravai Life Sciences Holdings, LLC | | 9/13/2021 |
**Signature of Reporting Person | Date |
/s/ Carl Hull, as chief executive officer of Maravai Life Sciences Holdings 2, LLC | | 9/13/2021 |
**Signature of Reporting Person | Date |
/s/ Jeffrey Wright, by power of attorney for GTCR Fund XI/B LP | | 9/13/2021 |
**Signature of Reporting Person | Date |
/s/ Jeffrey Wright, by power of attorney for GTCR Fund XI/C LP | | 9/13/2021 |
**Signature of Reporting Person | Date |
/s/ Jeffrey Wright, by power of attorney for GTCR Co-Invest XI LP | | 9/13/2021 |
**Signature of Reporting Person | Date |
/s/ Jeffrey Wright, by power of attorney for GTCR Partners XI/A&C LP | | 9/13/2021 |
**Signature of Reporting Person | Date |
/s/ Jeffrey Wright, by power of attorney for GTCR Partners XI/B LP | | 9/13/2021 |
**Signature of Reporting Person | Date |
/s/ Jeffrey Wright, by power of attorney for GTCR Investment XI LLC | | 9/13/2021 |
**Signature of Reporting Person | Date |
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