Thomas Connolly - May 17, 2019 Form 4 Insider Report for Avantor, Inc. (AVTR)

Role
Director
Signature
Jamison Yardley, Attorney-in-fact
Stock symbol
AVTR
Transactions as of
May 17, 2019
Transactions value $
-$13,300
Form type
4
Date filed
5/7/2021, 04:05 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % Price $ Shares After Date Ownership Footnotes
transaction AVTR Common Stock, par value $0.01 per share +Buy $183,386 +13,099 +0.02% $14.00 67,619,397 May 17, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$196,686 -14,049 -0.02% $14.00 67,605,348 May 17, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $965 +55 +0% $17.55 72,612,230 Jul 31, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$965 -55 0% $17.55 72,612,175 Jul 31, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $1,466 +88 +0% $16.66 72,614,265 Aug 6, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$1,466 -88 0% $16.66 72,614,177 Aug 6, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $268,259 +16,245 +0.02% $16.51 72,632,694 Aug 12, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$268,259 -16,245 -0.02% $16.51 72,616,449 Aug 12, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $150 +9 +0% $16.66 72,616,458 Aug 12, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$150 -9 0% $16.66 72,616,449 Aug 12, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $1,113,607 +67,437 +0.09% $16.51 72,683,598 Sep 6, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$1,113,607 -67,437 -0.09% $16.51 72,616,161 Sep 6, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $839,544 +49,200 +0.07% $17.06 72,665,361 Sep 6, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$839,544 -49,200 -0.07% $17.06 72,616,161 Sep 6, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $2,463,454 +149,694 +0.21% $16.46 72,773,571 Sep 9, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$2,463,454 -149,694 -0.21% $16.46 72,623,877 Sep 9, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $25,990 +1,768 +0% $14.70 72,621,850 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$25,990 -1,768 0% $14.70 72,620,082 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $61,195 +4,146 +0.01% $14.76 72,624,228 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$61,195 -4,146 -0.01% $14.76 72,620,082 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $1,478 +100 +0% $14.78 72,620,182 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$1,478 -100 0% $14.78 72,620,082 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $56,164 +3,800 +0.01% $14.78 72,623,882 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$56,164 -3,800 -0.01% $14.78 72,620,082 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $1,479 +100 +0% $14.79 72,620,182 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$1,479 -100 0% $14.79 72,620,082 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $76,376 +5,164 +0.01% $14.79 72,625,246 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$76,376 -5,164 -0.01% $14.79 72,620,082 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share +Buy $146,846 +9,922 +0.01% $14.80 72,630,004 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5
transaction AVTR Common Stock, par value $0.01 per share -Sell -$146,846 -9,922 -0.01% $14.80 72,620,082 Sep 25, 2019 See Footnotes F1, F2, F3, F4, F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AVTR 6.250% Series A Mandatory Convertible Preferred Stock +Buy $37,451 +630 +656.25% $59.45 726 Jun 18, 2020 Common Stock 1,915 $17.18 See Footnotes F1, F2, F3, F4, F5, F6
transaction AVTR 6.250% Series A Mandatory Convertible Preferred Stock -Sell -$37,451 -630 -86.78% $59.45 96 Jun 18, 2020 Common Stock 1,915 $17.18 See Footnotes F1, F2, F3, F4, F5, F6

Thomas Connolly is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 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.
F5 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.
F6 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)