StoneBridge 2018 Form 4/A Avantor / Street Principal Investments, L.L.C. Broad ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

GOLDMAN SACHS & CO. LLC

(Last)

(First)

(Middle)

200 WEST STREET

(Street)

NEW YORK

10282

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Avantor, Inc. [ AVTR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
06/11/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)
08/25/2020

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	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. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/11/2020		P		2,055	A	$16.92	58,883,032⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/11/2020		S		2,055	D	$16.92	58,880,977⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/12/2020		S		300	D	$16.98	58,880,801⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/12/2020		P		300	A	$16.98	58,881,101⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/18/2020		S		6,798	D	$17.51	58,874,663⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/18/2020		P		6,798	A	$17.51	58,881,461⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/19/2020		P		2	A	$17.95	58,881,469⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/19/2020		S		2	D	$17.95	58,881,467⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/22/2020		P		29	A	$17.38	58,881,462⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/22/2020		S		29	D	$17.38	58,881,433⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/23/2020		P		300	A	$17.75	58,881,711⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/23/2020		S		300	D	$17.75	58,881,411⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/25/2020		S		151	D	$16.84	58,881,738⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/25/2020		P		151	A	$16.84	58,881,889⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/26/2020		P		20	A	$16.82	58,881,228⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/26/2020		S		20	D	$16.82	58,881,208⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/30/2020		P		1,910	A	$17.1	58,885,252⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/30/2020		S		400	D	$17	58,884,852⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/30/2020		P		584	A	$17.1	58,885,436⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/30/2020		P		400	A	$17	58,885,836⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/30/2020		S		3,653	D	$17.1	58,882,183⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/30/2020		P		1,103	A	$17.1	58,883,286⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	06/30/2020		P		56	A	$17.16	58,883,342⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	07/01/2020		P		646	A	$16.99	58,885,713⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	07/01/2020		S		10,000	D	$17	58,875,713⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	07/01/2020		P		436	A	$16.99	58,876,149⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	07/01/2020		P		347	A	$16.99	58,876,496⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	07/01/2020		S		2,006	D	$16.99	58,874,490⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	07/01/2020		S		13,404	D	$17.09	58,861,086⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	07/01/2020		P		62	A	$16.99	58,861,148⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾⁽⁶⁾⁽⁷⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
6.250% Series A Mandatory Convertible Preferred Stock⁽¹⁾⁽²⁾	$17.18	06/18/2020		P		630		⁽⁸⁾	⁽⁸⁾	Common Stock	1,914.885⁽⁸⁾	$59.4455	726	I	See Footnotes⁽⁶⁾⁽⁷⁾
6.250% Series A Mandatory Convertible Preferred Stock⁽¹⁾⁽²⁾	$17.18	06/18/2020		S			630	⁽⁸⁾	⁽⁸⁾	Common Stock	1,914.885⁽⁸⁾	$59.4455	96	I	See Footnotes⁽⁶⁾⁽⁷⁾

1. Name and Address of Reporting Person^*

GOLDMAN SACHS & CO. LLC

(Last)

(First)

(Middle)

200 WEST STREET

(Street)

NEW YORK

10282

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

StoneBridge 2017, L.P.

(Last)

(First)

(Middle)

200 WEST STREET

(Street)

NEW YORK

10282-2198

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

StoneBridge 2017 Offshore, L.P.

(Last)

(First)

(Middle)

200 WEST STREET

(Street)

NEW YORK

10282-2198

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

VWR Partners, L.P.

(Last)

(First)

(Middle)

200 WEST STREET

(Street)

NEW YORK

10282

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Broad Street Principal Investments, L.L.C.

(Last)

(First)

(Middle)

200 WEST STREET

(Street)

NEW YORK

10282

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Bridge Street Opportunity Advisors, L.L.C.

(Last)

(First)

(Middle)

200 WEST STREET

(Street)

NEW YORK

10282

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

GOLDMAN SACHS GROUP INC

(Last)

(First)

(Middle)

200 WEST STREET

(Street)

NEW YORK

10282

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

StoneBridge 2018, L.P.

(Last)

(First)

(Middle)

200 WEST STREET

(Street)

NEW YORK

10282

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

StoneBridge 2018 Offshore, L.P.

(Last)

(First)

(Middle)

200 WEST STREET

(Street)

NEW YORK

10282

(City)

(State)

(Zip)

Explanation of Responses:

1. 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), the amount of profit potentially recoverable by Avantor, Inc (the "Issuer") from the reported transactions has been remitted to the Issuer.

2. These transactions in the Issuer's common stock (the "Common Stock") 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.

3. This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group"), Goldman Sachs, Broad Street Principal Investments, L.L.C. ("BSPI"), StoneBridge 2017, L.P. ("StoneBridge 2017"), StoneBridge 2017 Offshore, L.P. ("StoneBridge 2017 Offshore"), VWR Partners, L.P. ("VWR"), StoneBridge 2018, L.P. ("StoneBridge 2018"), StoneBridge 2018 Offshore, L.P. ("StoneBridge 2018 Offshore" and, together with StoneBridge 2017, StoneBridge 2017 Offshore, VWR and StoneBridge 2018, the "GS Funds") and Bridge Street Opportunity Advisors, L.L.C. ("Bridge Street"). GS Group, Goldman Sachs, BSPI, the GS Funds and Bridge Street are defined collectively as the "Reporting Persons".

4. 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.

5. Goldman Sachs and GS Group may be deemed to beneficially own indirectly shares of Common Stock by reason of direct beneficial ownership of such shares by the GS Funds and BSPI. Bridge Street, the sole general partner of each of the GS Funds, 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. Goldman Sachs is a direct subsidiary of GS Group.

6. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any such 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.

7. The Reporting Persons are currently analyzing additional trading activity in the Issuer's equity securities and, if necessary, will file another Form 4 as promptly as reasonably practicable once that analysis is complete.

8. The Series A Mandatory Convertible Preferred Stock (the "Preferred Stock") is convertible into shares of the Issuer's Common Stock. At any time prior to May 15, 2022, holders of the Preferred Stock may elect to convert each share of the Preferred Stock into shares of Common Stock at the minimum conversion rate of 3.0395 shares of Common Stock per share of Preferred Stock.

Remarks:

Balance of trades included in attached schedule. (See Exhibit 99)

	/s/ Jamison Yardley, Attorney-in-fact	11/12/2020
	/s/ Jamison Yardley, Attorney-in-fact	11/12/2020
	/s/ Jamison Yardley, Attorney-in-fact	11/12/2020
	/s/ Jamison Yardley, Attorney-in-fact	11/12/2020
	/s/ Jamison Yardley, Attorney-in-fact	11/12/2020
	/s/ Jamison Yardley, Attorney-in-fact	11/12/2020
	/s/ Jamison Yardley, Attorney-in-fact	11/12/2020
	/s/ Jamison Yardley, Attorney-in-fact	11/12/2020
	/s/ Jamison Yardley, Attorney-in-fact	11/12/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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StoneBridge 2018 Form 4/AAvantor / Street Principal Investments, L.L.C. Broad ownership change