Statement of Changes in Beneficial Ownership (4)
May 07 2021 - 4:07PM
Edgar (US Regulatory)
FORM 4
[ ]
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Natauri Jo |
2. Issuer Name and Ticker or Trading Symbol
Avantor, Inc.
[
AVTR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O GOLDMAN SACHS & CO. LLC, 200 WEST STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/17/2019 |
(Street)
NEW YORK, NY 10282
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock, par value $0.01 per share (1)(2)(3) | 5/17/2019 | | P | | 13099 | A | $14.00 | 67619397 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 5/17/2019 | | S | | 14049 | D | $14.00 | 67605348 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 7/31/2019 | | P | | 55 | A | $17.5476 | 72612230 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 7/31/2019 | | S | | 55 | D | $17.5476 | 72612175 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 8/6/2019 | | P | | 88 | A | $16.66 | 72614264.87 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 8/6/2019 | | S | | 88 | D | $16.66 | 72614176.87 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 8/12/2019 | | P | | 16245 | A | $16.5133 | 72632694 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 8/12/2019 | | S | | 16245 | D | $16.5133 | 72616449 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 8/12/2019 | | P | | 9 | A | $16.66 | 72616458 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 8/12/2019 | | S | | 9 | D | $16.66 | 72616449 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/6/2019 | | P | | 67437 | A | $16.5133 | 72683598 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/6/2019 | | S | | 67437 | D | $16.5133 | 72616161 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/6/2019 | | P | | 49200 | A | $17.0639 | 72665361 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/6/2019 | | S | | 49200 | D | $17.0639 | 72616161 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/9/2019 | | P | | 149694 | A | $16.4566 | 72773570.99 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/9/2019 | | S | | 149694 | D | $16.4566 | 72623876.99 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | P | | 1768 | A | $14.70 | 72621850.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | S | | 1768 | D | $14.70 | 72620082.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | P | | 4146 | A | $14.76 | 72624228.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | S | | 4146 | D | $14.76 | 72620082.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | P | | 100 | A | $14.775 | 72620182.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | S | | 100 | D | $14.775 | 72620082.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | P | | 3800 | A | $14.78 | 72623882.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | S | | 3800 | D | $14.78 | 72620082.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | P | | 100 | A | $14.785 | 72620182.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | S | | 100 | D | $14.785 | 72620082.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | P | | 5164 | A | $14.79 | 72625246.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | S | | 5164 | D | $14.79 | 72620082.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | P | | 9922 | A | $14.80 | 72630004.41 (4)(5) | I | See Footnotes (4)(5) |
Common Stock, par value $0.01 per share (1)(2)(3) | 9/25/2019 | | S | | 9922 | D | $14.80 | 72620082.41 (4)(5) | I | See Footnotes (4)(5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Explanation of Responses: |
(1) | These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported on Form 4 and were effected by Goldman Sachs & Co. LLC ("Goldman Sachs") acting as agent on behalf of certain international affiliates that had entered into riskless principal trades in connection with client trade facilitation in the ordinary course of their business. |
(2) | Without conceding riskless principal trades in connection with client trade facilitation in the ordinary course of business can result in liability under Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), the amount of profit potentially recoverable by the Issuer from the reported transactions in the event that they were subject to Section 16(b) has been remitted to the Issuer. |
(3) | The Reporting Person is a managing director of Goldman Sachs. Goldman Sachs is a direct subsidiary of The Goldman Sachs Group, Inc. ("GS Group"). |
(4) | As of November 6, 2020, Goldman Sachs and GS Group may have been deemed to beneficially own indirectly 43,481,933 shares of Common Stock by reason of direct beneficial ownership of such shares by StoneBridge 2017, L.P., StoneBridge 2017 Offshore, L.P., VWR Partners, L.P., StoneBridge 2018, L.P. and StoneBridge 2018 Offshore, L.P. (together the "GS Funds") and Broad Street Principal Investments, L.L.C. ("BSPI"). Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street") is the sole general partner of each of the GS Funds and may be deemed to beneficially own shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds. Bridge Street is an indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the manager of BSPI and Bridge Street, and the investment manager of each of the GS Funds. |
(5) | The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of her pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Exchange Act, or for any other purpose. |
Remarks: Balance of trades included in attached schedule. (See Exhibit 99.1) |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Natauri Jo C/O GOLDMAN SACHS & CO. LLC 200 WEST STREET NEW YORK, NY 10282 | X |
|
|
|
Signatures
|
Jamison Yardley, Attorney-in-fact | | 5/7/2021 |
**Signature of Reporting Person | Date |
Avantor (NYSE:AVTR-A)
Historical Stock Chart
From Jun 2024 to Jul 2024
Avantor (NYSE:AVTR-A)
Historical Stock Chart
From Jul 2023 to Jul 2024