Sec Form 4/A Filing - GOLDMAN SACHS & CO. LLC @ Avantor, Inc. - 2020-06-11

Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security.

Form 4: Statement of changes in beneficial ownership, filed before the end of the 2nd business day following the day on which a transaction resulting in a change in beneficial ownership.

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The following is an SEC EDGAR document rendered as filed.
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FORM 4/A
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person *
GOLDMAN SACHS & CO. LLC
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)
(Last)
(First)
(Middle)
200 WEST STREET
3. Date of Earliest Transaction (MM/DD/YY)
06/11/2020
(Street)
NEW YORK, NY10282
4. If Amendment, Date Original Filed (MM/DD/YY)
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
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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)
Code V Amount (A) or (D) Price
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
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 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
GOLDMAN SACHS & CO. LLC
200 WEST STREET
NEW YORK, NY10282
X
StoneBridge 2017, L.P.
200 WEST STREET
NEW YORK, NY10282-2198
X
StoneBridge 2017 Offshore, L.P.
200 WEST STREET
NEW YORK, NY10282-2198
X
VWR Partners, L.P.
200 WEST STREET
NEW YORK, NY10282
X
Broad Street Principal Investments, L.L.C.
200 WEST STREET
NEW YORK, NY10282
X
Bridge Street Opportunity Advisors, L.L.C.
200 WEST STREET
NEW YORK, NY10282
X
GOLDMAN SACHS GROUP INC
200 WEST STREET
NEW YORK, NY10282
X
StoneBridge 2018, L.P.
200 WEST STREET
NEW YORK, NY10282
X
StoneBridge 2018 Offshore, L.P.
200 WEST STREET
NEW YORK, NY10282
X
Signatures
/s/ Jamison Yardley, Attorney-in-fact 11/12/2020
** Signature of Reporting Person Date
/s/ Jamison Yardley, Attorney-in-fact 11/12/2020
** Signature of Reporting Person Date
/s/ Jamison Yardley, Attorney-in-fact 11/12/2020
** Signature of Reporting Person Date
/s/ Jamison Yardley, Attorney-in-fact 11/12/2020
** Signature of Reporting Person Date
/s/ Jamison Yardley, Attorney-in-fact 11/12/2020
** Signature of Reporting Person Date
/s/ Jamison Yardley, Attorney-in-fact 11/12/2020
** Signature of Reporting Person Date
/s/ Jamison Yardley, Attorney-in-fact 11/12/2020
** Signature of Reporting Person Date
/s/ Jamison Yardley, Attorney-in-fact 11/12/2020
** Signature of Reporting Person Date
/s/ Jamison Yardley, Attorney-in-fact 11/12/2020
** Signature of Reporting Person Date
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)

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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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