Connolly Thomas Form 4 Avantor / Thomas Connolly 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^*

Connolly Thomas

(Last)

(First)

(Middle)

C/O GOLDMAN SACHS & CO. LLC

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)

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

3. Date of Earliest Transaction (Month/Day/Year)
05/17/2019

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

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. 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⁾	05/17/2019		P		13,099	A	$14	67,619,397⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	05/17/2019		S		14,049	D	$14	67,605,348⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	07/31/2019		P		55	A	$17.5476	72,612,230⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	07/31/2019		S		55	D	$17.5476	72,612,175⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	08/06/2019		P		88	A	$16.66	72,614,264.87⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	08/06/2019		S		88	D	$16.66	72,614,176.87⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	08/12/2019		P		16,245	A	$16.5133	72,632,694⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	08/12/2019		S		16,245	D	$16.5133	72,616,449⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	08/12/2019		P		9	A	$16.66	72,616,458⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	08/12/2019		S		9	D	$16.66	72,616,449⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/06/2019		P		67,437	A	$16.5133	72,683,598⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/06/2019		S		67,437	D	$16.5133	72,616,161⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/06/2019		P		49,200	A	$17.0639	72,665,361⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/06/2019		S		49,200	D	$17.0639	72,616,161⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/09/2019		P		149,694	A	$16.4566	72,773,570.99⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/09/2019		S		149,694	D	$16.4566	72,623,876.99⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		P		1,768	A	$14.7	72,621,850.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		S		1,768	D	$14.7	72,620,082.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		P		4,146	A	$14.76	72,624,228.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		S		4,146	D	$14.76	72,620,082.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		P		100	A	$14.775	72,620,182.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		S		100	D	$14.775	72,620,082.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		P		3,800	A	$14.78	72,623,882.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		S		3,800	D	$14.78	72,620,082.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		P		100	A	$14.785	72,620,182.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		S		100	D	$14.785	72,620,082.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		P		5,164	A	$14.79	72,625,246.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		S		5,164	D	$14.79	72,620,082.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		P		9,922	A	$14.8	72,630,004.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾
Common Stock, par value $0.01 per share⁽¹⁾⁽²⁾⁽³⁾	09/25/2019		S		9,922	D	$14.8	72,620,082.41⁽⁴⁾⁽⁵⁾	I	See Footnotes⁽⁴⁾⁽⁵⁾

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⁾⁽³⁾	$17.18	06/18/2020		P		630		⁽⁶⁾	⁽⁶⁾	Common Stock	1,914.885⁽⁶⁾	$59.4455	726	I	See Footnotes⁽⁴⁾⁽⁵⁾
6.250% Series A Mandatory Convertible Preferred Stock⁽¹⁾⁽²⁾⁽³⁾	$17.18	06/18/2020		S			630	⁽⁶⁾	⁽⁶⁾	Common Stock	1,914.885⁽⁶⁾	$59.4455	96	I	See Footnotes⁽⁴⁾⁽⁵⁾

Explanation of Responses:

1. These transactions in the common stock (the "Common Stock") of Avantor, Inc. (the "Issuer") have not previously been reported by the Reporting Person on Form 4.

2. These transactions 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. 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"). Effective May 7, 2020, the Reporting Person ceased to be a member of the Issuer's board of directors.

4. As of October 21,2020, 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 his 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.

6. 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 99.1)

	Jamison Yardley, Attorney-in-fact	05/07/2021
	** 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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Connolly Thomas Form 4Avantor / Thomas Connolly ownership change