Statement of Changes in Beneficial Ownership (4)
November 15 2021 - 5:39PM
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
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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
*
Vanderhaegen Frederic |
2. Issuer Name and Ticker or Trading Symbol
Avantor, Inc.
[
AVTR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, Europe |
(Last)
(First)
(Middle)
RADNOR CORPORATE CENTER, BUILDING ONE,, SUITE 200, 100 MATSONFORD ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/11/2021 |
(Street)
RADNOR, PA 19087
(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)
_X
_ Form filed by One Reporting Person
___ 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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Common Stock | 11/11/2021 | | S | | 60804 | D | $38.41 (1) | 154495 (2) | D | |
Common Stock | 11/12/2021 | | M | | 80000 | A | $23.20 | 234495 | D | |
Common Stock | 11/12/2021 | | S | | 80000 | D | $38.25 (3) | 154495 | D | |
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 |
Stock Options (Right to Buy) | $23.2 | 11/12/2021 | | M | | | 80000 | (4) | 10/8/2028 | Common Stock | 80000.0 | $0 | 460830 | D | |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $38.37 to $38.49, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth above. |
(2) | Includes 915 shares acquired under the Avantor Employee Stock Purchase Plan |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $38.00 to $38.79, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth above. |
(4) | Reflects an initial grant of 540,830 stock options in which 40% vested at the time of the IPO and the remaining 60% that vested in four equal installments beginning on October 8, 2019. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Vanderhaegen Frederic RADNOR CORPORATE CENTER, BUILDING ONE, SUITE 200, 100 MATSONFORD ROAD RADNOR, PA 19087 |
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| EVP, Europe |
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Signatures
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/s/ Scott Baker, as Attorney-in-Fact | | 11/15/2021 |
**Signature of Reporting Person | Date |
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