0000899243-18-017218.txt : 20180619 0000899243-18-017218.hdr.sgml : 20180619 20180619183431 ACCESSION NUMBER: 0000899243-18-017218 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180619 FILED AS OF DATE: 20180619 DATE AS OF CHANGE: 20180619 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARBURG PINCUS & CO. CENTRAL INDEX KEY: 0000929408 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908227 BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: NEW YORK CITY: NY STATE: NY ZIP: 100173147 BUSINESS PHONE: 2128780600 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: NEW YORK CITY: NY STATE: NY ZIP: 100173147 FORMER NAME: FORMER CONFORMED NAME: WARBURG PINCUS & CO DATE OF NAME CHANGE: 19940901 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warburg Pincus Private Equity XI, L.P. CENTRAL INDEX KEY: 0001540163 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908228 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: 450 LEXINGTON AVENUE STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: 450 LEXINGTON AVENUE STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WPXI Finance, LP CENTRAL INDEX KEY: 0001742449 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908229 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warburg Pincus XI Partners, L.P. CENTRAL INDEX KEY: 0001540386 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908230 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER NAME: FORMER CONFORMED NAME: WArburg Pincus XI Partners, L.P. DATE OF NAME CHANGE: 20120125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WPXI GP, L.P. CENTRAL INDEX KEY: 0001743648 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908231 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warburg Pincus XI, L.P. CENTRAL INDEX KEY: 0001540167 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908232 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: 450 LEXINGTON AVENUE STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: 450 LEXINGTON AVENUE STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WP Global LLC CENTRAL INDEX KEY: 0001540385 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908233 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warburg Pincus Partners II, L.P. CENTRAL INDEX KEY: 0001658787 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908234 BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: C/O WARBURG PINCUS LLC CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2128780600 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVENUE STREET 2: C/O WARBURG PINCUS LLC CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warburg Pincus Partners GP LLC CENTRAL INDEX KEY: 0001621224 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908235 BUSINESS ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS LLC STREET 2: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARBURG PINCUS LLC CENTRAL INDEX KEY: 0001162870 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38525 FILM NUMBER: 18908236 BUSINESS ADDRESS: STREET 1: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-878-0600 MAIL ADDRESS: STREET 1: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 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 2018-06-19 0 0001348036 AVALARA INC AVLR 0000929408 WARBURG PINCUS & CO. 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001540163 Warburg Pincus Private Equity XI, L.P. 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001742449 WPXI Finance, LP 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001540386 Warburg Pincus XI Partners, L.P. 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001743648 WPXI GP, L.P. 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001540167 Warburg Pincus XI, L.P. 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001540385 WP Global LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001658787 Warburg Pincus Partners II, L.P. 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001621224 Warburg Pincus Partners GP LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 0001162870 WARBURG PINCUS LLC 450 LEXINGTON AVENUE NEW YORK NY 10017 0 0 1 0 Common Stock 2018-06-19 4 C 0 39335 A 1320483 I See Footnotes Common Stock 2018-06-19 4 C 0 2070 A 69489 I See Footnotes Common Stock 2018-06-19 4 C 0 22814 A 1343297 I See Footnotes Common Stock 2018-06-19 4 C 0 1200 A 70689 I See Footnotes Common Stock 2018-06-19 4 C 0 44005 A 1387302 I See Footnotes Common Stock 2018-06-19 4 C 0 2316 A 73005 I See Footnotes Common Stock 2018-06-19 4 C 0 8643195 A 10030497 I See Footnotes Common Stock 2018-06-19 4 C 0 454904 A 527909 I See Footnotes Common Stock 2018-06-19 4 C 0 3231505 A 13262002 I See Footnotes Common Stock 2018-06-19 4 C 0 170078 A 697987 I See Footnotes Series A-1 Preferred Stock 2018-06-19 4 C 0 78670 0.00 D Common Stock 39335 0 I See Footnotes Series A-1 Preferred Stock 2018-06-19 4 C 0 4140 0.00 D Common Stock 2070 0 I See Footnotes Series B Preferred Stock 2018-06-19 4 C 0 45629 0.00 D Common Stock 22814 0 I See Footnotes Series B Preferred Stock 2018-06-19 4 C 0 2401 0.00 D Common Stock 1200 0 I See Footnotes Series D Preferred Stock 2018-06-19 4 C 0 88011 0.00 D Common Stock 44005 0 I See Footnotes Series D Preferred Stock 2018-06-19 4 C 0 4632 0.00 D Common Stock 2316 0 I See Footnotes Series D-1 Preferred Stock 2018-06-19 4 C 0 17286391 0.00 D Common Stock 8643195 0 I See Footnotes Series D-1 Preferred Stock 2018-06-19 4 C 0 909810 0.00 D Common Stock 454904 0 I See Footnotes Series D-2 Preferred Stock 2018-06-19 4 C 0 6463011 0.00 D Common Stock 3231505 0 I See Footnotes Series D-2 Preferred Stock 2018-06-19 4 C 0 340158 0.00 D Common Stock 170078 0 I See Footnotes 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. Warburg Pincus Private Equity XI, L.P. ("WPXI") holds shares through its subsidiary, WPXI Finance, LP ("WPXIF"). Warburg Pincus XI Partners, L.P. ("WPXI Partners") also holds shares and together with WPXI is referred to as the "WPXI Funds." WPXI GP, L.P. ("WPXIF GP") is the managing general partner of WPXIF. WPXI is the general partner of WPXIF GP. Warburg Pincus XI, L.P. ("WP XI GP") is the general partner of each of WPXI and WPXI Partners. WP Global LLC ("WP Global") is the general partner of WP XI GP. Warburg Pincus Partners II, L.P. ("WPP II") is the managing member of WP Global. Warburg Pincus Partners GP LLC ("WPP GP LLC") is the general partner of WPP II. Warburg Pincus & Co. ("WP") is the managing member of WPP GP LLC. Warburg Pincus LLC ("WP LLC") is the manager of the WPXI Funds. (Continued from Footnote 2) Charles R. Kaye and Joseph P. Landy are each Managing General Partners of WP and Managing Members and Co-Chief Executive Officers of WP LLC and may be deemed to control the Warburg Pincus entities. Messrs. Kaye and Landy disclaim beneficial ownership of all shares held by the WPXI Funds entities. Mr. Sadrian, a director of the Issuer, is a Partner of WP and a Member and Managing Director of WP LLC. Shares held by WPXI through its subsidiary WPXIF. Each of WPXIF GP, WPXI Partners, WP XI GP, WP Global, WPP II, WPP GP LLC, WP and WP LLC, and Messrs. Kaye, Landy and Sadrian disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. Shares held directly by WPXI Partners. Each of WPXI, WPXIF, WPXIF GP, WP XI GP, WP Global, WPP II, WPP GP LLC, WP, WP LLC, and Messrs. Kaye, Landy and Sadrian disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. Form 1 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. WARBURG PINCUS & Co. by Robert B. Knauss, Partner, /s/ Robert B. Knauss 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: WARBURG PINCUS & CO.

Other joint filers: Warburg Pincus Private Equity XI, L.P., WPXI Finance, LP,
Warburg Pincus XI Partners, L.P., WPXI GP, L.P., Warburg Pincus XI, L.P., WP
Global LLC, Warburg Pincus Partners II, L.P., Warburg Pincus Partners GP LLC,
Warburg Pincus LLC, Charles R. Kaye, Joseph P. Landy

Address for each joint filer is: c/o Warburg Pincus & Co., 450 Lexington Avenue,
New York, New York 10017

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

                    WARBURG PINCUS PRIVATE EQUITY XI, L.P.
                        BY: WARBURG PINCUS XI, L.P., ITS GENERAL PARTNER
                        BY: WP GLOBAL LLC, ITS GENERAL PARTNER
                        BY: WARBURG PINCUS PARTNERS II, L.P., ITS MANAGING
                            MEMBER
                        BY: WARBURG PINCUS PARTNERS GP LLC, ITS GENERAL
                            PARTNER
                        BY: WARBURG PINCUS & CO., ITS MANAGING MEMBER
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                        By: Robert B. Knauss
                        Title: Partner

                    WPXI FINANCE, LP
                        BY: WPXI GP, L.P., ITS MANAGING GENERAL PARTNER
                        BY: WARBURG PINCUS PRIVATE EQUITY XI, L.P., ITS
                            GENERAL PARTNER
                        BY: WARBURG PINCUS XI, L.P., ITS GENERAL PARTNER
                        BY: WP GLOBAL LLC, ITS GENERAL PARTNER
                        BY: WARBURG PINCUS PARTNERS II, L.P., ITS MANAGING
                            MEMBER
                        BY: WARBURG PINCUS PARTNERS GP LLC, ITS GENERAL
                            PARTNER
                        BY: WARBURG PINCUS & CO., ITS MANAGING MEMBER
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                       By: Robert B. Knauss
                       Title: Partner

                    WARBURG PINCUS XI PARTNERS, L.P.
                        BY: WARBURG PINCUS XI, L.P., ITS GENERAL PARTNER
                        BY: WP GLOBAL LLC, ITS GENERAL PARTNER
                        BY: WARBURG PINCUS PARTNERS II, L.P., ITS MANAGING
                            MEMBER
                        BY: WARBURG PINCUS PARTNERS GP LLC, ITS GENERAL
                            PARTNER
                        BY: WARBURG PINCUS & CO., ITS MANAGING MEMBER
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                        By: Robert B. Knauss
                        Title: Partner

                     WPXI GP, L.P.
                        BY: WARBURG PINCUS PRIVATE EQUITY XI, L.P., ITS
                            GENERAL PARTNER
                        BY: WARBURG PINCUS XI, L.P., ITS GENERAL PARTNER
                        BY: WP GLOBAL LLC, ITS GENERAL PARTNER
                        BY: WARBURG PINCUS PARTNERS II, L.P., ITS MANAGING
                            MEMBER
                        BY: WARBURG PINCUS PARTNERS GP LLC, ITS GENERAL
                            PARTNER
                        BY: WARBURG PINCUS & CO., ITS MANAGING MEMBER
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                        By: Robert B. Knauss
                        Title: Partner

                    WARBURG PINCUS XI, L.P.
                        BY: WP GLOBAL LLC, ITS GENERAL PARTNER
                        BY: WARBURG PINCUS PARTNERS II, L.P., ITS MANAGING
                            MEMBER
                        BY: WARBURG PINCUS PARTNERS GP LLC, ITS GENERAL
                            PARTNER
                        BY: WARBURG PINCUS & CO., ITS MANAGING MEMBER
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                        By: Robert B. Knauss
                        Title: Partner

                    WP GLOBAL LLC
                        BY: WARBURG PINCUS PARTNERS II, L.P., ITS MANAGING
                            MEMBER
                        BY: WARBURG PINCUS PARTNERS GP LLC, ITS GENERAL
                            PARTNER
                        BY: WARBURG PINCUS & CO., ITS MANAGING MEMBER
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                        By: Robert B. Knauss
                        Title: Partner

                    WARBURG PINCUS PARTNERS II, L.P.
                        BY: WARBURG PINCUS PARTNERS GP LLC, ITS GENERAL
                            PARTNER
                        BY: WARBURG PINCUS & CO., ITS MANAGING MEMBER
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                        By: Robert B. Knauss
                        Title: Partner

                    WARBURG PINCUS PARTNERS GP LLC
                        BY: WARBURG PINCUS & CO., ITS MANAGING MEMBER
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                        By: Robert B. Knauss
                        Title: Partner

                    WARBURG PINCUS LLC
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                        By: Robert B. Knauss
                        Title: Managing Director

                    CHARLES R. KAYE
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                        Name: Charles R. Kaye
                        By: Robert B. Knauss, Attorney-in-Fact

                    JOSEPH P. LANDY
                        /s/ ROBERT B. KNAUSS
                        ---------------------------------
                        Name: Joseph P. Landy
                        By: Robert B. Knauss, Attorney-in-Fact