Avantor Inc
For the period ended Dec 31, 2023. Filed Feb 14, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Feb 14, 2024
AVTR$15.57-2.1%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 15. Exhibits and financial statement schedules
The following documents are filed as part of this report.
Financial Statements and Schedules. See Index to Consolidated Financial Statements and Schedules on page F-1.
Exhibits:
| Exhibit no. · Description · Location of exhibits | ||||
|---|---|---|---|---|
| Form · Exhibit no. · Filing date | ||||
| 3.1 | Third Amended and Restated Certificate of Incorporation, effective May 13, 2021 | 8-K | 3.1 | 5/17/2021 |
| 3.2 | Third Amended and Restated Bylaws of Avantor, Inc. | 8-K | 3.1 | 1/28/2021 |
| 3.3 | Certificate of Designations of 6.250% Series A Mandatory Convertible Preferred Stock of Avantor, Inc. | 8-K | 3.3 | 5/21/2019 |
| 3.4 | Certificate of Elimination relating to the 6.250% Series A Mandatory Convertible Preferred Stock | 8-K | 3.1 | 5/17/2022 |
| 4.1 | Description of capital stock | 10-K | 4.1 | 2/14/2023 |
| 4.2 | Indenture, dated as of July 17, 2020, among Avantor Funding, Inc., the guarantors party thereto and The Bank of New York Mellon Trust Company, N.A., as Trustee. | 8-K | 4.1 | 7/17/2020 |
| 4.3 | Indenture, dated as of November 6, 2020, among Avantor Funding, Inc., the guarantors party thereto and The Bank of New York Mellon Trust Company, N.A., as Trustee and Notes Collateral Agent. | 8-K | 4.1 | 11/6/2020 |
| 4.4 | Indenture, dated as of October 26, 2021, among Avantor Funding, Inc., the guarantors party thereto and The Bank of New York Mellon Trust Company, N.A., as Trustee. | 8-K | 4.1 | 10/26/2021 |
| 10.1 | Credit Agreement, dated as of November 21, 2017, by and among Vail Holdco Sub LLC, Avantor Funding, Inc. (f/k/a Avantor, Inc.), the guarantors party thereto, Goldman Sachs Bank USA and the other lenders, l/c issuers and parties thereto. | S-1/A | 10.1 | 4/10/2019 |
| 10.2 | Amendment No. 1, to the Credit Agreement, dated as of November 21, 2017, among Vail Holdco Sub LLC, Avantor Funding, Inc., the guarantors party thereto, Goldman Sachs Bank USA and the other lenders, l/c issuers and parties thereto. | S-1/A | 10.2 | 4/10/2019 |
| Exhibit no. · Description · Location of exhibits | ||||
|---|---|---|---|---|
| Form · Exhibit no. · Filing date | ||||
| 10.3 | Amendment No. 2 to the Credit Agreement, dated as of November 21, 2017, among Vail Holdco Sub LLC, Avantor Funding, Inc., each of the Guarantors, each of the lenders from time to time party thereto and Goldman Sachs Bank USA, as administrative agent and collateral, Swing Line Lender and an L/C Issuer, the lenders party thereto and Goldman Sachs Lending Partners LLC, as the Additional Initial B-2 Euro Term Lender and the Additional Initial B-2 Dollar Term Lender. | 8-K | 10.1 | 6/18/2019 |
| 10.4 | Amendment No. 3 to the Credit Agreement, dated as of November 21, 2017, among Vail Holdco Sub LLC, Avantor Funding, Inc., each of the Guarantors, each of the lenders from time to time party thereto and Goldman Sachs Bank USA, as administrative agent and collateral agent, Swing Line Lender and an L/C Issuer, the lenders party thereto and Goldman Sachs Lending Partners LLC, as the Additional Initial B-3 Euro Term Lender and the Additional Initial B-3 Dollar Term Lender. | 8-K | 10.1 | 1/27/2020 |
| 10.5 | Amendment No. 4 to the Credit Agreement, dated as of November 21, 2017, among Vail Holdco Sub LLC, Avantor Funding, Inc., each of the Guarantors, each of the lenders from time to time party thereto and Goldman Sachs Bank USA, as administrative agent and collateral agent, Swing Line Lender and an L/C Issuer. | 8-K | 10.1 | 7/14/2020 |
| 10.6 | Amendment No. 5 to the Credit Agreement, dated as of November 21, 2017, among Vail Holdco Sub LLC, Avantor Funding, Inc., each of the Guarantors, each of the lenders from time to time party thereto and Goldman Sachs Bank USA, as administrative agent and collateral agent, Swing Line Lender and an L/C Issuer, the lenders party thereto and Goldman Sachs Lending Partners LLC, as the New Term Lender | 8-K | 10.1 | 11/6/2020 |
| 10.7 | Amendment No. 6 to the Credit Agreement, dated as of November 21, 2017, among Vail Holdco Sub LLC, Avantor Funding, Inc., each of the Guarantors, each of the lenders from time to time party thereto and Goldman Sachs Bank USA, as administrative agent and collateral agent, Swing Line Lender and an L/C Issuer, the lenders party thereto and Citibank, N.A., as the New Term Lender | 8-K | 10.1 | 6/14/2021 |
| 10.8 | Amendment No. 7 to the Credit Agreement, dated as of November 21, 2017, among Vail Holdco Sub LLC, Avantor Funding, Inc., each of the Guarantors, each of the lenders from time to time party thereto and Goldman Sachs Bank USA, as administrative agent and collateral agent, Swing Line Lender and an L/C Issuer, the lenders party thereto and Bank of America, N.A., as the Additional Initial B-4 Dollar Term Lender and as the Additional Incremental B-5 Dollar Term Lender | 8-K | 10.1 | 7/9/2021 |
| Exhibit no. · Description · Location of exhibits | ||||
|---|---|---|---|---|
| Form · Exhibit no. · Filing date | ||||
| 10.9 | Amendment No. 8 to the Credit Agreement, dated as of November 21, 2017, among Vail Holdco Sub LLC, Avantor Funding, Inc., each of the Guarantors, each of the lenders from time to time party thereto and Goldman Sachs Bank USA, as administrative agent and collateral agent, Swing Line Lender and an L/C Issuer, the lenders party thereto and Citibank, N.A., as the New Term Lender | 8-K | 10.1 | 11/2/2021 |
| 10.10 | Amendment No. 9 to the Credit Agreement, dated as of November 21, 2017 between Avantor Funding, Inc., and Goldman Sachs Bank USA, as administrative agent and collateral agent for the lenders. | 10-Q | 10.1 | 7/29/2022 |
| 10.11 | Amendment No. 10 to the Credit Agreement, dated as of November 21, 2017, among Avantor Funding, Inc., Goldman Sachs Bank USA, as administrative agent and collateral agent for the lenders and the Revolving Credit Lenders. | 10-Q | 10.1 | 4/28/2023 |
| 10.12 | Amendment No. 11 to Credit Agreement, dated as of November 21, 2017, among Vail Holdco Sub, LLC, Avantor Funding, Inc., each of the Guarantors, each of the lenders from time to time party thereto and Goldman Sachs Bank USA, as administrative agent and collateral agent, Swing Line Lender and an L/C Issuer | 8-K | 10.1 | 7/5/2023 |
| 10.13 | Security Agreement, dated as of November 21, 2017, among the grantors identified therein and Goldman Sachs Bank USA, as agent. | S-1/A | 10.3 | 4/10/2019 |
| 10.14 | First Lien Intercreditor Agreement, dated as of November 21, 2017, by and among Avantor Funding, Inc. (f/k/a Avantor, Inc.), Vail Holdco Sub LLC, the other grantors party thereto, Goldman Sachs Bank USA, as collateral agent for the credit agreement secured parties, the Bank of New York Mellon Trust Company, N.A., as collateral agent for the indenture secured parties and each additional agent party from time to time thereto. | S-1/A | 10.4 | 4/10/2019 |
| 10.15 | Receivables Purchase Agreement, dated March 27, 2020, among Avantor Receivables Funding, LLC, VWR International, LLC, the various conduit purchasers from time to time party thereto, the various related committed purchasers from time to time party thereto, the various purchaser agents from time to time party thereto, the various LC participants from time to time party thereto and PNC Bank, National Association, as Administrator and LC Bank. | 8-K | 10.1 | 3/30/2020 |
| Exhibit no. · Description · Location of exhibits | ||||
|---|---|---|---|---|
| Form · Exhibit no. · Filing date | ||||
| 10.16 | Amendment No. 1 dated as of December 21, 2021 to the Receivables Purchase Agreement, dated as of March 27, 2020, among Avantor Receivables Funding, LLC, VWR International, LLC, the various conduit purchasers from time to time party thereto, the various related committed purchasers from time to time party thereto, the various purchaser agents from time to time thereto, the various LC participants from time to time party thereto and PNC Bank, National Association, as Administrator and LC Bank. | 10-K | 10.13 | 2/11/2022 |
| 10.17 | Amendment No.2 dated as of October 25, 2022 to the Receivables Purchase Agreement, dated as of March 27, 2020, among Avantor Receivables Funding, LLC, VWR International, LLC, the various conduit purchasers from time to time party thereto, the various purchaser agents from time to time thereto, the various LC participants from time to time party thereto and PNC Bank, National Association, as administrator and LC Bank | 10-Q | 10.2 | 10/28/2022 |
| 10.18 | Amendment No. 3 dated as of June 14, 2023 to the Receivables Purchase Agreement, dated as of March 27, 2020, among Avantor Receivables Funding, LLC, VWR International, LLC, Avantor Funding, Inc. as performance guarantor, and PNC Bank, National Association, as administrator, LC Bank, Related Committed Purchaser and Purchaser Agent | 10-Q | 10.1 | 7/28/2023 |
| 10.19 | Amendment No. 4 dated as of September 19, 2023 to the Receivables Purchase Agreement, dated as of March 27, 2020, among Avantor Receivables Funding, LLC, VWR International, LLC, Avantor Funding, Inc., as performance guarantor, PNC Bank, National Association, as administrator, LC Bank, Related Committed Purchaser and Purchaser Agent, and Wells Fargo Bank, National Association, as Related Committed Purchaser, Purchaser Agent and LC Participant | 10-Q | 10.1 | 10/27/2023 |
| 10.20 | Purchase and Sale Agreement, dated March 27, 2020, between the various entities listed on Schedule I thereto as Originators and Avantor Receivables Funding, LLC. | 8-K | 10.2 | 3/30/2020 |
| 10.21^ | Avantor Funding, Inc. (f/k/a Avantor, Inc.) Equity Incentive Plan (as amended through September 28, 2016). | S-1/A | 10.12 | 4/5/2019 |
| 10.22^ | Form of Nonqualified Stock Option Agreement under the Avantor Funding, Inc. Equity Incentive Plan. | S-1/A | 10.13 | 4/25/2019 |
| 10.23^ | Avantor, Inc. (f/k/a Vail Holdco Corp) Equity Incentive Plan. | S-1/A | 10.14 | 4/5/2019 |
| 10.24^ | Form of Nonqualified Stock Option Agreement under the Avantor, Inc. Equity Incentive Plan. | S-1/A | 10.15 | 4/25/2019 |
| Exhibit no. · Description · Location of exhibits | ||||
|---|---|---|---|---|
| Form · Exhibit no. · Filing date | ||||
| 10.25^ | Avantor, Inc. 2019 Equity Incentive Plan | 8-K | 10.2 | 5/21/2019 |
| 10.26^ | Form of Option Grant Notice under the Avantor, Inc. 2019 Equity Incentive Plan. | S-1/A | 10.25 | 4/25/2019 |
| 10.27 | Form of Performance Stock Unit Grant Notice under the Avantor, Inc. 2019 Equity Incentive Plan (Employees) | 10-K | 10.22 | 2/16/2021 |
| 10.28^ | Form of Restricted Stock Unit Grant Notice under the Avantor, Inc. 2019 Equity Incentive Plan (Employees). | S-1/A | 10.26 | 4/25/2019 |
| 10.29^ | Form of Restricted Stock Unit Grant Notice under the Avantor, Inc. 2019 Equity Incentive Plan (Non-Employee Directors). | S-1/A | 10.27 | 4/25/2019 |
| 10.30^ | Avantor, Inc. 2019 Employee Stock Purchase Plan | 8-K | 10.3 | 5/21/2019 |
| 10.31^ | Amendment No. 1 to the Avantor, Inc. 2019 Employee Stock Purchase Plan | S-8 | 4.4 | 11/14/2019 |
| 10.32^ | Amendment No.2 to the Avantor, Inc. 2019 Employee Stock Purchase Plan | 10-Q | 10.1 | 10/28/2022 |
| 10.33^ | Amendment No.3 to the Avantor, Inc. 2019 Employee Stock Purchase Plan | * | ||
| 10.34^ | Amended and Restated Employment Agreement, dated April 10, 2019, between Michael Stubblefield and Avantor, Inc. (f/k/a Vail Holdco Corp) | S-1/A | 10.16 | 4/25/2019 |
| 10.35^ | Employment Letter Agreement, dated October 5, 2018, between Thomas A. Szlosek and Avantor, Inc. (f/k/a Vail Holdco Corp) | S-1/A | 10.17 | 4/5/2019 |
| 10.36^ | Amended and Restated Employment Letter Agreement, dated April 2, 2019, between Gerard Brophy and VWR Management Services, LLC | S-1/A | 10.19 | 4/10/2019 |
| 10.37^ | Contract of Employment, dated June 29, 2018, between Frederic Vanderhaegen and VWR International GmbH | S-1/A | 10.20 | 4/25/2019 |
| 10.38^ | Addendum to Contract of Employment, dated April 10, 2019, between Frederic Vanderhaegen and VWR International GmbH | S-1/A | 10.21 | 4/25/2019 |
| 10.39^ | Employment Letter Agreement dated December 18, 2020 between Sheri Lewis and VWR Management Services, LLC | 10-Q | 10.2 | 7/29/2022 |
| 10.40^ | Offer Letter, dated July 12, 2023 between R. Brent Jones and VWR Management Services, LLC | 8-K | 10.1 | 7/13/2023 |
| 10.41^ | Form of Indemnification Agreement (between Avantor, Inc. and its directors and officers) | S-1/A | 10.23 | 4/25/2019 |
| 21 | List of subsidiaries of Avantor, Inc. | * | ||
| 23 | Consent of Deloitte & Touche LLP | * | ||
| 31.1 | Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | * | ||
| 31.2 | Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | * | ||
| Exhibit no. | Description | Location of exhibits |
| Form | Exhibit no. | Filing date |
| 32.1 | Certification of Principal Executive Officer pursuant to 18 U.S.C. 1350 (Section 906 of the Sarbanes-Oxley Act of 2002) | ** |
| 32.2 | Certification of Principal Financial Officer pursuant to 18 U.S.C. 1350 (Section 906 of the Sarbanes-Oxley Act of 2002) | ** |
| 97^ | Erroneously Awarded Compensation Recovery Policy | * |
| 101 | The following materials from this report, formatted in iXBRL (Inline eXtensible Business Reporting Language): (i) the Consolidated Statements of Income, (ii) the Consolidated Statements of Comprehensive Income, (iii) the Consolidated Balance Sheets, (iv) the Consolidated Statements of Cash Flows, and (v) Notes to Consolidated Financial Statements. | * |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
- Filed herewith
** Furnished herewith
^ Indicates management contract or compensatory plan, contract or arrangement.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.