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Avantor, Inc. — Director's Dealing 2019
May 24, 2019
30731_dirs_2019-05-23_efffacd3-d16a-4d26-aa9b-de82b8020813.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Avantor, Inc. (AVTR)
CIK: 0001722482
Period of Report: 2019-05-21
Reporting Person: GUPTA RAJIV (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-05-21 | Common Stock | A | 14286 | $0.00 | Acquired | 554427 | Direct |
| 2019-05-21 | Common Stock | M | 523286 | — | Acquired | 843791 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-05-21 | Existing Junior Convertible Preferred | $ | M | 4440 | Disposed | Common Stock (523286) | Indirect |
Footnotes
F1: Reflects a grant of restricted stock units that vests on May 21, 2020.
F2: Existing Junior Convertible Preferred Stock automatically converted into common stock of the Issuer upon consummation of the Issuer's initial public offering. The number of shares of common stock received upon conversion of the Existing Junior Convertible Preferred Stock was based on the aggregate liquidation preference of such stock divided by the initial public offering price of $14.00 per share.
F3: Reflects securities held by a trust for the benefit of the Reporting Person's family, of which the spouse of the Reporting Person is trustee. Reporting Person disclaims beneficial ownership of the securities held by the trust, except to the extent of his pecuniary interest therein. The Existing Junior Convertible Preferred were inadvertently reported as directly held by the Reporting Person on the Form 3 filed by him on May 16, 2019.