0001104659-23-124726.txt : 20231208 0001104659-23-124726.hdr.sgml : 20231208 20231208163039 ACCESSION NUMBER: 0001104659-23-124726 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231206 FILED AS OF DATE: 20231208 DATE AS OF CHANGE: 20231208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thompson Stefanie Westphal CENTRAL INDEX KEY: 0001818515 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39413 FILM NUMBER: 231475817 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 tm2331951d5_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-12-06 0 0001806837 Vertex, Inc. VERX 0001818515 Thompson Stefanie Westphal C/O VERTEX, INC. 2301 RENAISSANCE BLVD. KING OF PRUSSIA PA 19406 1 0 1 0 0 Class B Common Stock 2023-12-06 4 W 0 2367000 0 D Class A Common Stock 2367000 0 I By Irr. Trust of Antoinette M. Westphal, 3/31/87, Stefanie W. Thompson and Sterling Trustees, LLC Class B Common Stock 2023-12-06 5 W 0 E 789000 0 A Class A Common Stock 789000 838000 D Class B Common Stock Class A Common Stock 30310904.588 30310904.588 I By The 2009 Stefanie W. Lucas Generation Skipping Trust Class B Common Stock Class A Common Stock 1786000 1786000 I By Irr. Trust of RJW, Settlor, 7/19/07 - Separate Trust for Benefit of Stefanie W. Lucas 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 upon either (1) any transfer of the Class B Common Stock by the holder, whether or not for value, subject to certain exceptions or (2) the voting power of the Issuer's outstanding Class B Common Stock representing less than 10% of the combined voing power of all of the Issuer's outstanding common stock. The Form 3 originally filed by the reporting person understated the reporting person's indirect ownership of Class B Common Stock by approximately 36,589 shares. This Form 4 reflects the correct number of shares. /s/ Bryan Rowland, Attorney-in-fact 2023-12-08