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Filing Details

Accession Number:: 0000899243-21-018643
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-05-07 13:00:00
Reporting Period:: 2019-05-17

Accepted Time:: 2021-05-07 16:05:34
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1722482	Avantor Inc.	AVTR	Laboratory Analytical Instruments (3826)	822758923

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1776597	Thomas Connolly	C/O Goldman Sachs &Amp; Co. Llc 200 West Street New York NY 10282		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-05-17	13,099	$14.00	67,619,397	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-05-17	14,049	$14.00	67,605,348	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-07-31	55	$17.55	72,612,230	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-07-31	55	$17.55	72,612,175	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-08-06	88	$16.66	72,614,265	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-08-06	88	$16.66	72,614,177	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-08-12	16,245	$16.51	72,632,694	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-08-12	16,245	$16.51	72,616,449	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-08-12	9	$16.66	72,616,458	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-08-12	9	$16.66	72,616,449	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-09-06	67,437	$16.51	72,683,598	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-09-06	67,437	$16.51	72,616,161	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-09-06	49,200	$17.06	72,665,361	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-09-06	49,200	$17.06	72,616,161	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-09-09	149,694	$16.46	72,773,571	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-09-09	149,694	$16.46	72,623,877	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-09-25	1,768	$14.70	72,621,850	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-09-25	1,768	$14.70	72,620,082	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-09-25	4,146	$14.76	72,624,228	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-09-25	4,146	$14.76	72,620,082	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-09-25	100	$14.78	72,620,182	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-09-25	100	$14.78	72,620,082	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-09-25	3,800	$14.78	72,623,882	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-09-25	3,800	$14.78	72,620,082	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-09-25	100	$14.79	72,620,182	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-09-25	100	$14.79	72,620,082	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-09-25	5,164	$14.79	72,625,246	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-09-25	5,164	$14.79	72,620,082	No	4	S	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Acquisiton	2019-09-25	9,922	$14.80	72,630,004	No	4	P	Indirect	See Footnotes
Common Stock, Par Value $0.01 Per Share	Disposition	2019-09-25	9,922	$14.80	72,620,082	No	4	S	Indirect	See Footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	6.250% Series A Mandatory Convertible Preferred Stock	Acquisiton	2020-06-18	630	$59.45	1,915	$17.18
Common Stock	6.250% Series A Mandatory Convertible Preferred Stock	Disposition	2020-06-18	630	$59.45	1,915	$17.18

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
726			No	4	P	Indirect
96			No	4	S	Indirect

Footnotes

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.
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.
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.
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.
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.
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.