0001068875-23-000097.txt : 20230525
0001068875-23-000097.hdr.sgml : 20230525
20230525163208
ACCESSION NUMBER: 0001068875-23-000097
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230523
FILED AS OF DATE: 20230525
DATE AS OF CHANGE: 20230525
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Walters Christopher William
CENTRAL INDEX KEY: 0001607418
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-25131
FILM NUMBER: 23961266
MAIL ADDRESS:
STREET 1: 10900 NE 8TH STREET
STREET 2: SUITE 800
CITY: BELLEVUE
STATE: WA
ZIP: 98004
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AVANTAX, INC.
CENTRAL INDEX KEY: 0001068875
STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199]
IRS NUMBER: 911718107
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3200 OLYMPUS BLVD.
STREET 2: SUITE 100
CITY: DALLAS
STATE: TX
ZIP: 75019
BUSINESS PHONE: 972-870-6000
MAIL ADDRESS:
STREET 1: 3200 OLYMPUS BLVD.
STREET 2: SUITE 100
CITY: DALLAS
STATE: TX
ZIP: 75019
FORMER COMPANY:
FORMER CONFORMED NAME: BLUCORA, INC.
DATE OF NAME CHANGE: 20120605
FORMER COMPANY:
FORMER CONFORMED NAME: INFOSPACE INC
DATE OF NAME CHANGE: 20000428
FORMER COMPANY:
FORMER CONFORMED NAME: INFOSPACE COM INC
DATE OF NAME CHANGE: 19980824
4
1
wf-form4_168504668609686.xml
FORM 4
X0407
4
2023-05-23
0
0001068875
AVANTAX, INC.
AVTA
0001607418
Walters Christopher William
3200 OLYMPUS BLVD.
SUITE 100
DALLAS
TX
75019
1
1
0
0
Chief Executive Officer
0
Common Stock
2023-05-23
4
M
0
15569
8.96
A
364137
D
Common Stock
2023-05-23
4
F
0
10016
21.75
D
354121
D
Stock Option (Right to Buy)
8.96
2023-05-23
4
M
0
15569
0
D
2017-05-24
2023-05-24
Common Stock
15569.0
0
D
Represents a "net exercise" of outstanding stock options. The reporting person received 5,553 shares of common stock of the Issuer upon a net exercise of an option to purchase 15,569 shares of common stock. The reporting person forfeited 10,016 shares of common stock underlying the option in payment of the exercise price of $8.96 and applicable taxes withheld using the closing stock price on May 23, 2023 of $21.75.
Not included in this amount are 404,738 performance-based Restricted Stock Units of which (i) 116,666 are eligible to vest from 0% to 200% following the end of 2023, (ii) 169,683 are eligible to vest from 0% to 200% following the end of 2024 and (iii) 118,389 are eligible to vest from 0% to 200% following the end of 2025. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee of the board of directors of the Issuer.
/s/ Tabitha T. Bailey, as Attorney-in-Fact for Christopher W. Walters
2023-05-25