0001068875-23-000063.txt : 20230501 0001068875-23-000063.hdr.sgml : 20230501 20230501170527 ACCESSION NUMBER: 0001068875-23-000063 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230427 FILED AS OF DATE: 20230501 DATE AS OF CHANGE: 20230501 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mehlman Marc CENTRAL INDEX KEY: 0001810041 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25131 FILM NUMBER: 23874868 MAIL ADDRESS: STREET 1: 6333 NORTH STATE HIGHWAY 161, 4TH FLOOR STREET 2: C/O BLUCORA, INC. CITY: IRVING STATE: TX ZIP: 75038 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_168297511268728.xml FORM 4 X0407 4 2023-04-27 0 0001068875 AVANTAX, INC. AVTA 0001810041 Mehlman Marc 3200 OLYMPUS BLVD. SUITE 100 DALLAS TX 75019 0 1 0 0 Chief Financial Officer 0 Common Stock 2023-04-27 4 F 0 3279 0 D 88367 D Common Stock 2025 I Spouse This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the reporting person. Not included in this amount are 64,344 performance-based RSUs, of which (i) 16,333 are eligible to vest from 0% to 200% following the end of 2023, (ii) 28,280 are eligible to vest from 0% to 200% following the end of 2024 and (iii) 19,731 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 over a three-year period and certification by the Compensation Committee of the Issuer's board of directors. Represents shares held by the spouse of the reporting person. /s/ Tabitha T. Bailey as Attorney-in-Fact for Marc Mehlman 2023-05-01