SEC Form 4 · accession 0000899243-18-017228
AVALARA, INC. · AVLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jared R. Vogt
Director
Period of report
May 29, 2018
Accepted (ET)
Jun 19, 2018 · 6:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001348036
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 29, 2018 | P | 9,375 | $17.68 | A | 9,375 | I | By MVPROJECTS, LLC |
| Common StockF2 | Jun 19, 2018 | C | 106,367 | — | A | 1,103,743 | D | |
| Common StockF2 | Jun 19, 2018 | C | 3,191 | — | A | 1,106,934 | D | |
| Common Stock | holding | — | — | — | 8,351 | I | By Irrevocable Living Trust 6/19/09 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF2 | — | Jun 19, 2018 | C | 212,735 | D | — | — | Common Stock | 106,367 | 0 | D |
| Series B Preferred StockF2 | — | Jun 19, 2018 | C | 6,382 | D | — | — | Common Stock | 3,191 | 0 | D |
Explanation of responses
- F1The reporting person is a member of MVPROJECTS, LLC.
- F2Shares of preferred stock automatically converted into shares of common stock on a 2-to-1 basis immediately prior to the closing of the Issuer's initial public offering with cash paid in lieu of a fractional share. The preferred stock had no expiration date.