0001104659-23-087392.txt : 20230803 0001104659-23-087392.hdr.sgml : 20230803 20230803180104 ACCESSION NUMBER: 0001104659-23-087392 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230802 FILED AS OF DATE: 20230803 DATE AS OF CHANGE: 20230803 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Westphal Jeffery CENTRAL INDEX KEY: 0001818851 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39413 FILM NUMBER: 231141497 MAIL ADDRESS: STREET 1: C/O VERTEX, INC. STREET 2: 2301 RENAISSANCE BLVD. CITY: KING OF PRUSSIA STATE: PA ZIP: 19406 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vertex, Inc. CENTRAL INDEX KEY: 0001806837 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 232081753 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2301 RENAISSANCE BOULEVARD CITY: KING OF PRUSSIA STATE: PA ZIP: 19406 BUSINESS PHONE: (800) 355-3500 MAIL ADDRESS: STREET 1: 2301 RENAISSANCE BOULEVARD CITY: KING OF PRUSSIA STATE: PA ZIP: 19406 4 1 tm2322802-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-08-02 0 0001806837 Vertex, Inc. VERX 0001818851 Westphal Jeffery C/O VERTEX, INC. 2301 RENAISSANCE BLVD KING OF PRUSSIA PA 19406 0 0 1 0 0 Class A Common Stock 2023-08-02 4 C 0 879000 0 A 2180202 I See Footnote Class A Common Stock 5584181 I By The 2009 Jeffrey R. Westphal Generation Skipping Trust Class A Common Stock 7895 D Class B Common Stock 2023-08-02 4 C 0 879000 0 D Class A Common Stock 879000 0 I See Footnote Class B Common Stock Class A Common Stock 49000 49000 D Class B Common Stock Class A Common Stock 9249286.237 9249286.237 I By The 2009 Jeffrey R. Westphal Generation Skipping Trust Class B Common Stock Class A Common Stock 1153756 1153756 I By Rainer J. Westphal 2007 Separate Exempt Trust FBO Jeffrey Westphal Class B Common Stock Class A Common Stock 332244 332244 I By Rainer J. Westphal 2007 Separate Non-Exempt Trust FBO Jeffrey Westphal Represents shares held by The 2009 Jeffrey R. Westphal Generation-Skipping Sub-Trust for Jenifer R. Westphal, of which the Reporting Person's spouse is trustee. The Class B Common Stock is convertible at any time at the option of the holder into one share of the Issuer's Class A Common Stock and has no expiration date. The Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock on a one-to-one basis either (1) upon any transfer of the Class B Common Stock by the holder, whether or not for value, subject to certain exceptions or (2) if the voting power of the Issuer's outstanding Class B Common Stock represents less than 10% of the combined voting power of all of the Issuer's outstanding common stock. /s/ Joshua Levine, Attorney-in-Fact 2023-08-03