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