A Dark Vector Cognition product

Item 16. FORM 10-K SUMMARY

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Item 16. FORM 10-K SUMMARY

None.

SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, West Pharmaceutical Services, Inc. has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

WEST PHARMACEUTICAL SERVICES, INC.

(Registrant)

By: /s/ Bernard J. Birkett

Bernard J. Birkett

Senior Vice President and Chief Financial Officer

February 21, 2020

Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of West Pharmaceutical Services, Inc. in the capacities and on the dates indicated.

SignatureTitleDate
/s/ Eric M. GreenDirector, President and Chief Executive OfficerFebruary 21, 2020
Eric M. Green(Principal Executive Officer)
/s/ Bernard J. BirkettSenior Vice President and Chief Financial OfficerFebruary 21, 2020
Bernard J. Birkett(Principal Financial Officer and Principal Accounting Officer)
/s/ Mark A. ButhmanDirectorFebruary 18, 2020
Mark A. Buthman
/s/ William F. Feehery, Ph.D.DirectorFebruary 18, 2020
William F. Feehery, Ph.D.
/s/ Robert F. FrielDirectorFebruary 18, 2020
Robert F. Friel
/s/ Thomas W. HofmannDirectorFebruary 18, 2020
Thomas W. Hofmann
/s/ Paula A. Johnson, M.D., MPHDirectorFebruary 18, 2020
Paula A. Johnson, M.D., MPH
/s/ Deborah L.V. KellerDirectorFebruary 18, 2020
Deborah L.V. Keller
/s/ Myla P. Lai-Goldman, M.D.DirectorFebruary 18, 2020
Myla P. Lai-Goldman, M.D.
/s/ Douglas A. MichelsDirectorFebruary 18, 2020
Douglas A. Michels
/s/ Paolo PucciDirectorFebruary 18, 2020
Paolo Pucci
/s/ Patrick J. ZennerDirector and Chairman of the BoardFebruary 18, 2020
Patrick J. Zenner

EXHIBIT INDEX

Exhibit NumberDescription
3.1Our Amended and Restated Articles of Incorporation are incorporated by reference from our Form 10-Q report for the quarter ended March 31, 2015.
3.2Our Bylaws, as amended through May 5, 2015, are incorporated by reference from our Form 10-Q report for the quarter ended March 31, 2015.
4.1Form of stock certificate for common stock is incorporated by reference from our 1998 Form 10-K.
4.2Article 5, 6, 8(c) and 9 of our Amended and Restated Articles of Incorporation are incorporated by reference from our Form 10-Q report for the quarter ended March 31, 2015.
4.3Article I and V of our Bylaws, as amended through May 5, 2015, are incorporated by reference from our Form 10-Q report for the quarter ended March 31, 2015.
4.4Description of Registered Securities.
4.5 (1)Instruments defining the rights of holders of long-term debt securities of West and its subsidiaries have been omitted.
10.1Credit Agreement, dated as of March 28, 2019, between West, certain of its subsidiaries, the lenders party thereto from time to time, Bank of America, N.A., as Administrative Agent, Swing Line Lender and an Issuing Lender; Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Securities, LLC, MUFG Bank, Ltd., and JPMorgan Chase Bank, N.A., as Joint Lead Arrangers and Joint Bookrunners, and Wells Fargo Bank, National Association, MUFG Bank, Ltd., and JPMorgan Chase Bank, N.A., as Co-Syndication Agents, is incorporated by reference from our Form 8-K dated April 1, 2019.
10.2First Amendment and Incremental Facility Amendment, dated as of December 30, 2019, between West, each of the lenders party thereto from time to time, and Bank of America, N.A., as Administrative Agent.
10.3Note Purchase Agreement, dated July 5, 2012, among the Company and the Purchasers named therein is incorporated by reference from our Form 8-K filed on July 10, 2012.
10.4 (2)Employment Agreement, dated as of April 13, 2015, between us and Eric M. Green, is incorporated by reference from our Form 8-K dated April 15, 2015.
10.5 (2)Indemnification Agreement, dated as of April 24, 2015, between us and Eric M. Green, is incorporated by reference from our Form 8-K dated April 30, 2015.
10.6 (2)Sign-On Retention Award Notice, dated as of April 24, 2015, from us to Eric M. Green, is incorporated by reference from our Form 8-K dated April 30, 2015.
10.7 (2)Employment Agreement, dated May 29, 2018, between us and Bernard J. Birkett, is incorporated by reference from our Form 8-K dated June 21, 2018.
10.8 (2)Employment Agreement, dated August 28, 2016, between David Montecalvo and us, incorporated by reference from our Form 10-Q report for the quarter ended September 30, 2016.
10.9 (2)Supplemental Employees’ Retirement Plan, as amended and restated effective January 1, 2008, is incorporated by reference from our 2008 Form 10-K report.
10.10 (2)Non-Qualified Deferred Compensation Plan for Designated Employees, as amended and restated effective December 1, 2018, is incorporated by reference from our 2018 Form 10-K report.
10.11 (2)Deferred Compensation Plan for Outside Directors, as amended and restated effective June 30, 2013, is incorporated by reference from our 2013 Form 10-K report.
10.12 (2)2016 Omnibus Incentive Compensation Plan is incorporated by reference from our Form S-8 filed on May 3, 2016.
10.13 (2)2011 Omnibus Incentive Compensation Plan is incorporated by reference from our Form 8-K filed on May 6, 2011.
10.14 (2)2007 Omnibus Incentive Compensation Plan effective as of May 1, 2007, is incorporated by reference to Exhibit 99.1 of the Company’s Form 8-K dated May 4, 2007.
10.15 (2)Form of Executive 2006 Non-Qualified Stock Option Award is incorporated by reference from our Form 10-Q report for the quarter ended March 31, 2006.
10.16 (2)Form of Director 2006 Non-Qualified Stock Option Award Notice is incorporated by reference from our Form 10-Q report for the quarter ended June 30, 2006.

F-1

Exhibit NumberDescription
10.17 (2)Form of Director 2006 Stock Unit Award Notice is incorporated by reference from our Form 10-Q report for the quarter ended June 30, 2006.
10.18 (2)Form of Director 2007 Deferred Stock Award, issued pursuant to the 2007 Omnibus Incentive Compensation Plan, is incorporated by reference from our Form 10-Q report for the quarter ended June 30, 2007.
10.19 (2)Form of 2008 Non-Qualified Stock Option and Performance-Vesting Share Unit Award, issued pursuant to the 2007 Omnibus Incentive Compensation Plan, is incorporated by reference from our Form 10-Q report for the quarter ended March 31, 2008.
10.20 (2)Form of Director 2008 Deferred Stock Award, issued pursuant to the 2007 Omnibus Incentive Compensation Plan, is incorporated by reference from our 2008 Form 10-K report.
10.21 (2)Form of 2009 Supplemental Long-Term Incentive Award, is incorporated by reference from our Form 10-Q report for the quarter ended September 30, 2009.
10.22 (2)Form of 2014 Long-Term Incentive Plan Award is incorporated by reference from our Form 10-Q report for the quarter ended March 31, 2014.
10.23 (2)Form of 2014 Stock-Settled Restricted Stock Unit Award is incorporated by reference from our Form 10-Q report for the quarter ended June 30, 2014.
10.24 (2)Form of 2019 Performance Stock Unit (PSU) Award issued under the 2016 Omnibus Incentive Compensation Plan, is incorporated by reference from our Form 10-Q report for the quarter ended March 31, 2019.
10.25 (2)Form of 2019 Stock Option Award issued under the 2016 Omnibus Incentive Compensation Plan, is incorporated by reference from our Form 10-Q report for the quarter ended March 31, 2019,
10.26Indemnification agreements between us and each of our directors in the form of Exhibit 10.1 to our Form 8-K report dated January 6, 2009, which is incorporated by reference.
10.27 (2)Form of Change-in-Control Agreement between us and certain of our executive officers, is incorporated by reference from our Form 10-Q report for the quarter ended September 30, 2017.
10.28 (3)Agreement, effective as of January 1, 2005, between us and The Goodyear Tire & Rubber Company is incorporated by reference from our Form 10-Q report for the quarter ended June 30, 2005.
10.29 (3)First Agreement, effective as of July 1, 2008, to amend Agreement between us and The Goodyear Tire & Rubber Company is incorporated by reference from our Form 10-Q report for the quarter ended March 31, 2009.
10.30 (3)Second Agreement, dated August 16, 2016, to amend Agreement between us and The Goodyear Tire & Rubber Company and us, incorporated by reference from our Form 10-Q report for the quarter ended September 30, 2016.
10.31 (3)Distributorship Agreement, dated and effective January 18, 2017, between Daikyo Seiko, Ltd. and us is incorporated by reference from our 2016 Form 10-K report.
10.32 (3)Amended and Restated Technology Exchange and CrossLicense Agreement, dated and effective January 18, 2017, between Daikyo Seiko, Ltd. and us, incorporated by reference from our 2016 Form 10-K report.
10.33 (3)Amended Agreement, dated and effective July 2, 2018, between Daikyo Seiko, Ltd. and us, is incorporated by reference from Form 10-Q report for the quarter ended June 30, 2018.
10.34 (4)Amendment Agreement, dated as of October 15, 2019, between us and Daikyo Seiko, Ltd., is incorporated by reference from our Form 8-K dated October 16, 2019.
10.35 (4)Global Master Supply Agreement by and between ExxonMobil Chemical Company and us, entered into on January 10, 2020, and effective January 1, 2019 through December 31, 2023 is incorporated by reference from our Form 8-K report filed on January 16, 2020.
21Subsidiaries of the Company.
23Consent of Independent Registered Public Accounting Firm.
31.1Certification by the Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2Certification by the Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

F-2

Exhibit NumberDescription
32.1*Certification by the Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2*Certification by the Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
101.INSThe instance document does not appear in the interactive data file because its XBRL tags are embedded within the inline XBRL document.
101.SCHInline XBRL Taxonomy Extension Schema Document
101.CALInline XBRL Taxonomy Extension Calculation Linkbase Document
101.LABInline XBRL Taxonomy Extension Label Linkbase Document
101.PREInline XBRL Taxonomy Extension Presentation Linkbase Document
101.DEFInline XBRL Taxonomy Extension Definition Linkbase Document
104**Inline XBRL for the cover page of this Annual Report on Form 10-K, included in the Exhibit 101 Inline XBRL Document Set.

(1) We agree to furnish to the SEC, upon request, a copy of each instrument with respect to issuances of long-term debt of the Company and its subsidiaries.

(2) Management compensatory plan.

(3) Certain portions of this exhibit have been omitted and filed separately with the SEC pursuant to a confidential treatment order of the SEC.

(4) Portions of this exhibit (indicated therein by asterisks) have been omitted for confidential treatment.

  • Furnished, not filed.

F-3

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