0000899243-18-017230.txt : 20180619 0000899243-18-017230.hdr.sgml : 20180619 20180619184212 ACCESSION NUMBER: 0000899243-18-017230 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180124 FILED AS OF DATE: 20180619 DATE AS OF CHANGE: 20180619 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GILHULY EDWARD A CENTRAL INDEX KEY: 0001206780 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908269 MAIL ADDRESS: STREET 1: C/O SAGEVIEW CAPITAL LP STREET 2: 245 LYTTON AVENUE, SUITE 250 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sageview Capital GenPar, LP CENTRAL INDEX KEY: 0001363700 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908270 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-625-4230 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sageview Capital GenPar, Ltd. CENTRAL INDEX KEY: 0001470791 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908271 BUSINESS ADDRESS: STREET 1: GARDENIA COURT, SUITE 3307, 45 MARKET ST CITY: CAMANA BAY STATE: E9 ZIP: KY1-1103 BUSINESS PHONE: 203-625-4200 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sageview Capital Partners (A), LP CENTRAL INDEX KEY: 0001363699 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908272 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-625-4230 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sageview Capital Partners (B), LP CENTRAL INDEX KEY: 0001363698 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908273 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-625-4230 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sageview Partners (C) (Master), LP CENTRAL INDEX KEY: 0001363697 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908274 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-625-4230 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE, 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AVALARA INC CENTRAL INDEX KEY: 0001348036 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 911995935 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1100 2ND AVENUE STREET 2: SUITE 300 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: (206) 641-2560 MAIL ADDRESS: STREET 1: 1100 2ND AVENUE STREET 2: SUITE 300 CITY: SEATTLE STATE: WA ZIP: 98101 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-01-24 0 0001348036 AVALARA INC AVLR 0001206780 GILHULY EDWARD A C/O SAGEVIEW CAPITAL LP 55 RAILROAD AVENUE, FIRST FLOOR GREENWICH CT 06830 1 0 1 0 0001363700 Sageview Capital GenPar, LP C/O SAGEVIEW CAPITAL LP 55 RAILROAD AVENUE, FIRST FLOOR GREENWICH CT 06830 0 0 1 0 0001470791 Sageview Capital GenPar, Ltd. C/O SAGEVIEW CAPITAL LP 55 RAILROAD AVENUE, FIRST FLOOR GREENWICH CT 06830 0 0 1 0 0001363699 Sageview Capital Partners (A), LP C/O SAGEVIEW CAPITAL LP 55 RAILROAD AVENUE, FIRST FLOOR GREENWICH CT 06830 0 0 1 0 0001363698 Sageview Capital Partners (B), LP C/O SAGEVIEW CAPITAL LP 55 RAILROAD AVENUE, FIRST FLOOR GREENWICH CT 06830 0 0 1 0 0001363697 Sageview Partners (C) (Master), LP C/O SAGEVIEW CAPITAL LP 55 RAILROAD AVENUE, FIRST FLOOR GREENWICH CT 06830 0 0 1 0 Common Stock 2018-06-07 4 X 0 10000 4.50 A 25000 I See Footnotes Common Stock 2018-06-07 4 X 0 10000 9.72 A 35000 I See Footnotes Common Stock 2018-06-07 4 X 0 10000 12.20 A 45000 I See Footnotes Common Stock 2018-06-07 4 X 0 10000 12.60 A 55000 I See Footnotes Common Stock 2018-06-07 4 X 0 10000 13.84 A 65000 I See Footnotes Common Stock 2018-06-07 4 X 0 10000 16.60 A 75000 I See Footnotes Common Stock 2018-06-19 4 C 0 77777 A 77777 I See Footnotes Common Stock 2018-06-19 4 C 0 9090896 A 9168673 I See Footnotes Common Stock 2018-06-19 4 C 0 2440345 A 11609018 I See Footnotes Common Stock 2018-06-19 4 C 0 1210255 A 12819273 I See Footnotes Common Stock 2018-06-19 4 C 0 935185 A 935185 I See Footnotes Common Stock 2018-06-19 4 C 0 1657407 A 1657407 I See Footnotes Warrant (right to buy) 16.60 2018-01-24 4 A 0 10000 0.00 A Common Stock 10000 10000 D Warrant (right to buy) 16.60 2018-02-08 4 J 0 10000 0.00 D Common Stock 10000 0 D Warrant (right to buy) 16.60 2018-02-08 4 J 0 10000 0.00 A Common Stock 10000 10000 I See Footnotes Warrant (right to buy) 4.50 2018-06-07 4 X 0 10000 0.00 D Common Stock 10000 0 I See Footnotes Warrant (right to buy) 9.72 2018-06-07 4 X 0 10000 0.00 D Common Stock 10000 0 I See Footnotes Warrant (right to buy) 12.20 2018-06-07 4 X 0 10000 0.00 D Common Stock 10000 0 I See Footnotes Warrant (right to buy) 12.60 2018-06-07 4 X 0 10000 0.00 D Common Stock 10000 0 I See Footnotes Warrant (right to buy) 13.84 2018-06-07 4 X 0 10000 0.00 D Common Stock 10000 0 I See Footnotes Warrant (right to buy) 16.60 2018-06-07 4 X 0 10000 0.00 D Common Stock 10000 0 I See Footnotes Series A Preferred Stock 2018-06-19 4 C 0 155555 0.00 D Common Stock 77777 0 I See Footnotes Series B-1 Preferred Stock 2018-06-19 4 C 0 18181793 0.00 D Common Stock 9090896 0 I See Footnotes Series C-1 Preferred Stock 2018-06-19 4 C 0 4880690 0.00 D Common Stock 2440345 0 I See Footnotes Series D Preferred Stock 2018-06-19 4 C 0 2420511 0.00 D Common Stock 1210255 0 I See Footnotes Series D-2 Preferred Stock 2018-06-19 4 C 0 1870370 0.00 D Common Stock 935185 0 I See Footnotes Series D-2 Preferred Stock 2018-06-19 4 C 0 3314815 0.00 D Common Stock 1657407 0 I See Footnotes The shares issuable upon exercise of the warrant are subject to the terms of a lock-up agreement entered into in connection with the Issuer's initial public offering. Sageview Capital LP ("SC") is investment adviser to Sageview Capital Master, L.P. ("SCM"). Edward A. Gilhuly and Scott M. Stuart are co-presidents of Sageview Capital MGP, LLC ("Sageview MGP"), which ultimately controls the general partner of SCM, Sageview Avalara Partners I, L.P. ("SCAI"), and Sageview Avalara Partners, L.P. ("SCA"), and in such capacity they may be deemed to have shared voting and dispositive power over the shares held by SCM, SCAI, and SCA. Messrs. Gilhuly and Stuart are managing and control persons of SC, and in such capacity they may be deemed to have shared voting and dispositive power over the common stock held by SC. Reflects shares or warrants, as applicable, held directly by SC. Each of SCM, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. Entities referenced in this footnote are defined in footnote 2 or footnote 5, as applicable. Shares 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. Reflects shares held directly by SCM. Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B") and Sageview Partners (C) (Master), L.P. ("Sageview C") are the shareholders of SCM. Sageview Capital GenPar, Ltd. ("Sageview Ltd") is the sole general partner of each of SCM, Sageview A, Sageview B and Sageview C. Sageview Capital GenPar, L.P. ("Sageview GenPar") is the sole shareholder of Sageview Ltd. Sageview MGP is the sole general partner of Sageview GenPar. Edward Gilhuly and Scott Stuart are managing members and controlling persons of Sageview Capital MGP, LLC. Each of SC, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. Reflects shares held directly by SCA. Each of SC, SCM, SCAI, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. Reflects shares held directly by SCAI. Each of SC, SCM, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. The warrant was fully exercisable upon grant. Unless sooner exercised, the warrant expires immediately prior to the closing of the Issuer's initial public offering and will be automatically net exercised pursuant to its terms if not exercised prior to that time. Pursuant to Mr. Gilhuly's arrangement with SC and related entities, warrants issued to Mr. Gilhuly were transferred to SC. No consideration was paid in connection with the transfer. Form 2 of 2. Two reports are filed that relate to the same transactions. See Form 2 of 2 for additional reporting owners. Exhibit 99.1 list of reporting owners and signature page filed herewith. /s/ Alesia L. Pinney, Attorney-in-Fact 2018-06-19 See Exhibit 99.1 for signatures of other Reporting Owners 2018-06-19 EX-99.1 2 attachment1.htm EX-99.1 DOCUMENT

Exhibit 99.1                                                Date: June 19, 2018

Form 4 List of Reporting Owners and Signature Page

Name of designated filer: EDWARD A. GILHULY

Other joint filers: Sageview Capital LP, Sageview Capital Master, L.P., Sageview
Avalara Partners, L.P., Sageview Avalara Partners I, L.P., Sageview Capital MGP,
LLC, Stuart, Scott M., Sageview Capital GenPar, LP, Sageview Capital GenPar,
Ltd., Sageview Capital Partners (A), LP, Sageview Capital Partners (B), LP,
Sageview Partners (C) (Master), LP

Address for each joint filer is: c/o Sageview Capital LP, 55 Railroad Avenue,
First Floor, Greenwich, Connecticut 06830

Issuer Name and Ticker or Trading Symbol: Avalara, Inc. (AVLR)

                SAGEVIEW CAPITAL LP
                    /s/ DINO VERARDO
                    ---------------------------------
                    By: Dino Verardo
                    Title: Vice President of General Partner

                SAGEVIEW CAPITAL MASTER, L.P.
                    /s/ DINO VERARDO
                    ---------------------------------
                    By: Dino Verardo
                    Title: Vice President of General Partner

                SAGEVIEW AVALARA PARTNERS, L.P.
                    /s/ DINO VERARDO
                    ---------------------------------
                    By: Dino Verardo
                    Title: Vice President of General Partner

                SAGEVIEW AVALARA PARTNERS I, L.P.
                    /s/ DINO VERARDO
                    ---------------------------------
                    By: Dino Verardo
                    Title: Vice President of General Partner

                SAGEVIEW CAPITAL MGP, LLC
                    /s/ DINO VERARDO
                    ---------------------------------
                    By: Dino Verardo
                    Title: Vice President

               SCOTT M. STUART
                    /s/ SCOTT M. STUART

                SAGEVIEW CAPITAL GENPAR, LP
                    /s/ DINO VERARDO
                    ---------------------------------
                    By: Dino Verardo
                    Title: Vice President of General Partner

                SAGEVIEW CAPITAL GENPAR, LTD.
                    /s/ DINO VERARDO
                    ---------------------------------
                    By: Dino Verardo
                    Title: Vice President of General Partner

                SAGEVIEW CAPITAL PARTNERS (A), LP
                    /s/ DINO VERARDO
                    ---------------------------------
                    By: Dino Verardo
                    Title: Vice President of General Partner

                SAGEVIEW CAPITAL PARTNERS (B), LP
                    /s/ DINO VERARDO
                    ---------------------------------
                    By: Dino Verardo
                    Title: Vice President of General Partner

                SAGEVIEW PARTNERS (C) (MASTER), LP
                    /s/ DINO VERARDO
                    ---------------------------------
                    By: Dino Verardo
                    Title: Vice President of General Partner