Statement of Changes in Beneficial Ownership (4)
15 November 2021 - 11:39PM
Edgar (US Regulatory)
FORM 4
[ ]
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 OF SECURITIES
|
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APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
1. Name
and Address of Reporting Person *
Vanderhaegen Frederic |
2. Issuer Name and Ticker or Trading
Symbol Avantor, Inc. [ AVTR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
EVP, Europe |
(Last)
(First)
(Middle)
RADNOR CORPORATE CENTER, BUILDING ONE,, SUITE 200, 100
MATSONFORD ROAD |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/11/2021
|
(Street)
RADNOR, PA 19087
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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 |
11/11/2021 |
|
S |
|
60804 |
D |
$38.41 (1) |
154495 (2) |
D |
|
Common Stock |
11/12/2021 |
|
M |
|
80000 |
A |
$23.20 |
234495 |
D |
|
Common Stock |
11/12/2021 |
|
S |
|
80000 |
D |
$38.25 (3) |
154495 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 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 |
Stock Options (Right to
Buy) |
$23.2 |
11/12/2021 |
|
M |
|
|
80000 |
(4) |
10/8/2028 |
Common Stock |
80000.0 |
$0 |
460830 |
D |
|
Explanation of
Responses: |
(1) |
The price reported in Column
4 is a weighted average price. These shares were sold in multiple
transactions ranging from $38.37 to $38.49, inclusive. The
Reporting Person undertakes to provide the Issuer, any security
holder of the Issuer, or the staff of the Securities and Exchange
Commission, upon request, full information regarding the number of
shares sold at each price within the range set forth
above. |
(2) |
Includes 915 shares acquired
under the Avantor Employee Stock Purchase Plan |
(3) |
The price reported in Column
4 is a weighted average price. These shares were sold in multiple
transactions ranging from $38.00 to $38.79, inclusive. The
Reporting Person undertakes to provide the Issuer, any security
holder of the Issuer, or the staff of the Securities and Exchange
Commission, upon request, full information regarding the number of
shares sold at each price within the range set forth
above. |
(4) |
Reflects an initial grant of
540,830 stock options in which 40% vested at the time of the IPO
and the remaining 60% that vested in four equal installments
beginning on October 8, 2019. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Vanderhaegen Frederic
RADNOR CORPORATE CENTER, BUILDING ONE,
SUITE 200, 100 MATSONFORD ROAD
RADNOR, PA 19087 |
|
|
EVP, Europe |
|
Signatures
|
/s/ Scott Baker, as
Attorney-in-Fact |
|
11/15/2021 |
**Signature of
Reporting Person |
Date |
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