0001209191-20-058160.txt : 20201112 0001209191-20-058160.hdr.sgml : 20201112 20201112193128 ACCESSION NUMBER: 0001209191-20-058160 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200611 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS & CO. LLC CENTRAL INDEX KEY: 0000769993 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38912 FILM NUMBER: 201308649 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER NAME: FORMER CONFORMED NAME: GOLDMAN SACHS & CO DATE OF NAME CHANGE: 19931102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: StoneBridge 2017, L.P. CENTRAL INDEX KEY: 0001698772 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38912 FILM NUMBER: 201308650 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282-2198 BUSINESS PHONE: 212-902-1000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282-2198 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: StoneBridge 2017 Offshore, L.P. CENTRAL INDEX KEY: 0001698770 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38912 FILM NUMBER: 201308651 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282-2198 BUSINESS PHONE: 212-902-1000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282-2198 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VWR Partners, L.P. CENTRAL INDEX KEY: 0001708241 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38912 FILM NUMBER: 201308652 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282-2198 BUSINESS PHONE: 212-902-1000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282-2198 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Broad Street Principal Investments, L.L.C. CENTRAL INDEX KEY: 0001575993 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38912 FILM NUMBER: 201308653 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bridge Street Opportunity Advisors, L.L.C. CENTRAL INDEX KEY: 0001615636 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38912 FILM NUMBER: 201308654 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38912 FILM NUMBER: 201308655 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 212-902-1000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER NAME: FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/ DATE OF NAME CHANGE: 20010104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: StoneBridge 2018, L.P. CENTRAL INDEX KEY: 0001729502 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38912 FILM NUMBER: 201308656 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282-2198 BUSINESS PHONE: 212-902-1000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282-2198 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: StoneBridge 2018 Offshore, L.P. CENTRAL INDEX KEY: 0001729503 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38912 FILM NUMBER: 201308657 BUSINESS ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282-2198 BUSINESS PHONE: 212-902-1000 MAIL ADDRESS: STREET 1: 200 WEST STREET CITY: NEW YORK STATE: NY ZIP: 10282-2198 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Avantor, Inc. CENTRAL INDEX KEY: 0001722482 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 822758923 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: RADNOR CORPORATE CENTER, BUILDING ONE STREET 2: SUITE 200, 100 MATSONFORD ROAD CITY: RADNOR STATE: PA ZIP: 19087 BUSINESS PHONE: (610) 386-1700 MAIL ADDRESS: STREET 1: RADNOR CORPORATE CENTER, BUILDING ONE STREET 2: SUITE 200, 100 MATSONFORD ROAD CITY: RADNOR STATE: PA ZIP: 19087 FORMER COMPANY: FORMER CONFORMED NAME: Avantor, Inc DATE OF NAME CHANGE: 20190206 FORMER COMPANY: FORMER CONFORMED NAME: Vail Holdco Corp DATE OF NAME CHANGE: 20171113 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2020-06-11 2020-08-25 1 0001722482 Avantor, Inc. AVTR 0000769993 GOLDMAN SACHS & CO. LLC 200 WEST STREET NEW YORK NY 10282 0 0 1 0 0001698772 StoneBridge 2017, L.P. 200 WEST STREET NEW YORK NY 10282-2198 0 0 1 0 0001698770 StoneBridge 2017 Offshore, L.P. 200 WEST STREET NEW YORK NY 10282-2198 0 0 1 0 0001708241 VWR Partners, L.P. 200 WEST STREET NEW YORK NY 10282 0 0 1 0 0001575993 Broad Street Principal Investments, L.L.C. 200 WEST STREET NEW YORK NY 10282 0 0 1 0 0001615636 Bridge Street Opportunity Advisors, L.L.C. 200 WEST STREET NEW YORK NY 10282 0 0 1 0 0000886982 GOLDMAN SACHS GROUP INC 200 WEST STREET NEW YORK NY 10282 0 0 1 0 0001729502 StoneBridge 2018, L.P. 200 WEST STREET NEW YORK NY 10282 0 0 1 0 0001729503 StoneBridge 2018 Offshore, L.P. 200 WEST STREET NEW YORK NY 10282 0 0 1 0 Common Stock, par value $0.01 per share 2020-06-11 4 P 0 2055 16.92 A 58883032 I See Footnotes Common Stock, par value $0.01 per share 2020-06-11 4 S 0 2055 16.92 D 58880977 I See Footnotes Common Stock, par value $0.01 per share 2020-06-12 4 S 0 300 16.98 D 58880801 I See Footnotes Common Stock, par value $0.01 per share 2020-06-12 4 P 0 300 16.98 A 58881101 I See Footnotes Common Stock, par value $0.01 per share 2020-06-18 4 S 0 6798 17.51 D 58874663 I See Footnotes Common Stock, par value $0.01 per share 2020-06-18 4 P 0 6798 17.51 A 58881461 I See Footnotes Common Stock, par value $0.01 per share 2020-06-19 4 P 0 2 17.95 A 58881469 I See Footnotes Common Stock, par value $0.01 per share 2020-06-19 4 S 0 2 17.95 D 58881467 I See Footnotes Common Stock, par value $0.01 per share 2020-06-22 4 P 0 29 17.38 A 58881462 I See Footnotes Common Stock, par value $0.01 per share 2020-06-22 4 S 0 29 17.38 D 58881433 I See Footnotes Common Stock, par value $0.01 per share 2020-06-23 4 P 0 300 17.75 A 58881711 I See Footnotes Common Stock, par value $0.01 per share 2020-06-23 4 S 0 300 17.75 D 58881411 I See Footnotes Common Stock, par value $0.01 per share 2020-06-25 4 S 0 151 16.84 D 58881738 I See Footnotes Common Stock, par value $0.01 per share 2020-06-25 4 P 0 151 16.84 A 58881889 I See Footnotes Common Stock, par value $0.01 per share 2020-06-26 4 P 0 20 16.82 A 58881228 I See Footnotes Common Stock, par value $0.01 per share 2020-06-26 4 S 0 20 16.82 D 58881208 I See Footnotes Common Stock, par value $0.01 per share 2020-06-30 4 P 0 1910 17.10 A 58885252 I See Footnotes Common Stock, par value $0.01 per share 2020-06-30 4 S 0 400 17.00 D 58884852 I See Footnotes Common Stock, par value $0.01 per share 2020-06-30 4 P 0 584 17.10 A 58885436 I See Footnotes Common Stock, par value $0.01 per share 2020-06-30 4 P 0 400 17.00 A 58885836 I See Footnotes Common Stock, par value $0.01 per share 2020-06-30 4 S 0 3653 17.10 D 58882183 I See Footnotes Common Stock, par value $0.01 per share 2020-06-30 4 P 0 1103 17.10 A 58883286 I See Footnotes Common Stock, par value $0.01 per share 2020-06-30 4 P 0 56 17.16 A 58883342 I See Footnotes Common Stock, par value $0.01 per share 2020-07-01 4 P 0 646 16.99 A 58885713 I See Footnotes Common Stock, par value $0.01 per share 2020-07-01 4 S 0 10000 17.00 D 58875713 I See Footnotes Common Stock, par value $0.01 per share 2020-07-01 4 P 0 436 16.99 A 58876149 I See Footnotes Common Stock, par value $0.01 per share 2020-07-01 4 P 0 347 16.99 A 58876496 I See Footnotes Common Stock, par value $0.01 per share 2020-07-01 4 S 0 2006 16.99 D 58874490 I See Footnotes Common Stock, par value $0.01 per share 2020-07-01 4 S 0 13404 17.09 D 58861086 I See Footnotes Common Stock, par value $0.01 per share 2020-07-01 4 P 0 62 16.99 A 58861148 I See Footnotes 6.250% Series A Mandatory Convertible Preferred Stock 17.18 2020-06-18 4 P 0 630 59.4455 A Common Stock 1914.885 726 I See Footnotes 6.250% Series A Mandatory Convertible Preferred Stock 17.18 2020-06-18 4 S 0 630 59.4455 D Common Stock 1914.885 96 I See Footnotes 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. 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. 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". 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. 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. 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. 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. 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. Balance of trades included in attached schedule. (See Exhibit 99) /s/ Jamison Yardley, Attorney-in-fact 2020-11-12 /s/ Jamison Yardley, Attorney-in-fact 2020-11-12 /s/ Jamison Yardley, Attorney-in-fact 2020-11-12 /s/ Jamison Yardley, Attorney-in-fact 2020-11-12 /s/ Jamison Yardley, Attorney-in-fact 2020-11-12 /s/ Jamison Yardley, Attorney-in-fact 2020-11-12 /s/ Jamison Yardley, Attorney-in-fact 2020-11-12 /s/ Jamison Yardley, Attorney-in-fact 2020-11-12 /s/ Jamison Yardley, Attorney-in-fact 2020-11-12 EX-99 2 attachment1.htm EX-99 DOCUMENT HTML

Table 1 – Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3)

  

2. Transction
Date

(Month/Day/Year)

  

 

 

2A. Deemed
Execution
Date, if
any

(Month/Day/Year)

  

3. Trans-
action
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. Owner-
ship
Form:
Direct
(D) or
Indirect (I)
(Instr. 4)

  

7. Nature of Indirect
Beneficial Ownership
(Instr. 4)

 

Code (P)

or (S)

   V     Amount    

(A) or (D)

   Price  

Common Stock, par value $0.01 per share(1)(2)(3)

   7/1/2020     S       14,230     D   $ 17.09       58,846,918 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/1/2020     P       62,634     A   $ 17.04       58,909,552 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/1/2020     P       495     A   $ 16.99       58,910,047 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/1/2020     S       25,000     D   $ 17.00       58,885,047 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/1/2020     P       20     A   $ 17.00       58,885,067 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/2/2020     P       25     A   $ 17.61       58,892,542 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/2/2020     P       635     A   $ 17.61       58,893,177 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/2/2020     P       1,077     A   $ 17.61       58,894,254 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/2/2020     P       990     A   $ 17.61       58,895,244 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)    

   7/2/2020     P       384     A   $ 17.61       58,895,628 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/2/2020     P       125     A   $ 17.65       58,895,753 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/2/2020     S       3,236     D   $ 17.61       58,892,517 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/6/2020     S       19,700     D   $ 18.11       58,860,953 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/6/2020     P       19,700     A   $ 18.11       58,880,653 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/7/2020     P       531     A   $ 18.53       60,823,079 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/7/2020     S       700     D   $ 18.45       60,822,379 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/7/2020     P       345     A   $ 18.53       60,822,724 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/7/2020     P       43     A   $ 18.55       60,822,767 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/7/2020     P       700     A   $ 18.45       60,823,467 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/7/2020     P       240     A   $ 18.53       60,823,707 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/7/2020     S       1,159     D   $ 18.53       60,822,548 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     S       366     D   $ 18.19       58,880,466 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     P       28     A   $ 18.18       58,880,494 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     P       1,305     A   $ 18.21       58,881,799 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     P       1,104     A   $ 18.19       58,882,903 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     S       9     D   $ 18.19       58,882,894 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     S       110     D   $ 18.19       58,882,784 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     S       3,571     D   $ 18.21       58,879,213 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     S       5     D   $ 18.35       58,879,208 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     P       512     A   $ 18.21       58,879,720 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     P       984     A   $ 18.21       58,880,704 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     S       248     D   $ 18.19       58,880,456 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     S       366     D   $ 18.19       58,880,090 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     P       56     A   $ 18.20       58,880,146 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/10/2020     P       686     A   $ 18.19       58,880,832 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     S       13     D   $ 18.35       58,930,633 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     S       66     D   $ 18.35       58,930,567 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     S       2,016     D   $ 18.34       58,928,551 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     S       9     D   $ 18.48       58,928,542 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     P       339     A   $ 18.39       58,928,881 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     P       572     A   $ 18.34       58,929,453 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     P       858     A   $ 18.34       58,930,311 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     S       329     D   $ 18.35       58,929,982 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     P       13     A   $ 18.45       58,929,995 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     P       989     A   $ 18.35       58,930,984 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     S       249     D   $ 18.35       58,930,735 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     S       323     D   $ 18.35       58,930,412 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/13/2020     P       234     A   $ 18.34       58,930,646 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/14/2020     S       975     D   $ 18.14       58,881,026 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/14/2020     P       184,653     A   $ 18.08       59,065,679 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/14/2020     S       855     D   $ 18.14       59,064,824 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/14/2020     S       1,013     D   $ 18.14       59,063,811 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/14/2020     S       164     D   $ 18.14       59,063,647 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/14/2020     S       181,646     D   $ 18.08       58,882,001 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/16/2020     S       10,212     D   $ 18.85       58,875,769 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/16/2020     P       3,666     A   $ 18.86       58,879,435 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/16/2020     P       109     A   $ 18.87       58,879,544 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/16/2020     P       2,068     A   $ 18.85       58,881,612 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/16/2020     P       10,346     A   $ 18.86       58,891,958 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/16/2020     S       10,346     D   $ 18.86       58,881,612 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/16/2020     P       1,686     A   $ 18.86       58,883,298 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/16/2020     P       52     A   $ 18.85       58,883,350 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/16/2020     P       2,631     A   $ 18.86       58,885,981 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     P       603     A   $ 18.78       58,995,412 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     P       40     A   $ 18.78       58,995,452 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     P       34     A   $ 18.79       58,995,486 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     S       157     D   $ 18.79       58,995,329 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     P       529     A   $ 18.79       58,995,858 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     S       28,681     D   $ 18.79       58,967,177 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     P       1,207     A   $ 18.80       58,968,384 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     P       448     A   $ 18.80       58,968,832 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     P       1,723     A   $ 18.80       58,970,555 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     S       169     D   $ 18.79       58,970,386 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     S       176     D   $ 18.79       58,970,210 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     P       24,626     A   $ 18.79       58,994,836 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/20/2020     S       27     D   $ 18.79       58,994,809 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/23/2020     S       47,745     D   $ 18.83       58,839,808 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/23/2020     P       47,745     A   $ 18.83       58,887,553 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     S       499     D   $ 18.46       58,887,904 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     P       3,605     A   $ 18.45       58,891,509 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     S       13     D   $ 18.46       58,891,496 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     S       6,965     D   $ 18.45       58,884,531 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     S       525     D   $ 18.46       58,884,006 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     P       515     A   $ 18.45       58,884,521 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     P       78     A   $ 18.44       58,884,599 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     S       9     D   $ 18.41       58,884,590 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     P       415     A   $ 18.45       58,885,005 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     P       2,352     A   $ 18.45       58,887,357 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     S       131     D   $ 18.46       58,887,226 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     S       558     D   $ 18.46       58,886,668 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     P       1,753     A   $ 18.46       58,888,421 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/24/2020     S       18     D   $ 18.44       58,888,403 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/27/2020     S       100     D   $ 19.55       58,880,565 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/27/2020     S       46     D   $ 19.46       58,880,519 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/27/2020     P       796     A   $ 19.48       58,881,315 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/27/2020     S       650     D   $ 19.47       58,880,665 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/28/2020     S       21,796     D   $ 19.36       58,866,466 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/28/2020     P       21,796     A   $ 19.36       58,888,262 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/29/2020     S       32     D   $ 19.66       58,881,128 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/29/2020     S       161     D   $ 19.66       58,880,967 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/29/2020     P       9,107     A   $ 19.66       58,890,074 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/29/2020     S       8,624     D   $ 19.66       58,881,450 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/29/2020     S       2     D   $ 19.36       58,881,448 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/29/2020     S       148     D   $ 19.66       58,881,300 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/29/2020     S       140     D   $ 19.66       58,881,160 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/30/2020     S       4,623     D   $ 21.97       59,076,233 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   7/30/2020     P       4,623     A   $ 21.97       59,080,856 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   8/3/2020     S       51     D   $ 22.59       58,880,662 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   8/3/2020     S       41,004     D   $ 22.50       58,839,658 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   8/3/2020     P       50,736     A   $ 22.50       58,890,394 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   8/3/2020     S       1,957     D   $ 22.50       58,888,437 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   8/3/2020     S       14     D   $ 22.50       58,888,423 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   8/3/2020     S       849     D   $ 22.50       58,887,574 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   8/3/2020     S       3,150     D   $ 22.50       58,884,424 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   8/3/2020     S       3,711     D   $ 22.50       58,880,713 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   9/29/2020     S       5,222     D   $ 22.50       43,535,922 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(2)(3)

   9/29/2020     P       5,222     A   $ 22.50       43,541,144 (4)(5)    I   See Footnotes(4)(5)(6)(7)

Common Stock, par value $0.01 per share(1)(3)(9)

   11/10/2020     S       16,124,026 (9)(10)    D   $ 24.81 (10)      27,480,944 (4)(5)(11)    I   See Footnotes(3)(4)(5)(6)(7)(9)(10)(11)

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.

9.

Pursuant to an underwriting agreement, dated November 5, 2020 (the “Underwriting Agreement”), and in connection with the registered public offering of shares of Common Stock pursuant to the final prospectus dated November 5, 2020 and filed with the U.S. Securities and Exchange Commission on November 9, 2020 pursuant to Rule 424(b)(7) under the Securities Act of 1933, as amended, which offering was consummated on November 10, 2020 (the “Offering”), the GS Funds and BSPI sold in aggregate 16,124,026 shares of Common Stock.

10.

In Table I above, the per share sale price of $24.808125 set forth in the Underwriting Agreement has been rounded to the nearest whole cent.

11.

As of November 10, 2020, after giving effect to the sales made in connection with the Offering, (i) BSPI owns directly 2,626,771 shares of Common Stock, (ii) StoneBridge 2017 owns directly 512,416 shares of Common Stock, (iii) StoneBridge 2017 Offshore owns directly 236,834 shares of Common Stock, (iv) VWR owns directly 21,755,407 shares of Common Stock, (v) StoneBridge 2018 owns directly 1,567,255 shares of Common Stock and (vi) StoneBridge 2018 Offshore owns directly 659,224 shares of Common Stock.