WATERMAN GARY 4

Accession 0000899243-18-017233

CIK 0001348036other

View on SEC.gov Company Profile

Filed

Jun 18, 8:00 PM ET

Accepted

Jun 19, 6:43 PM ET

Size

50.5 KB

Accession

0000899243-18-017233

Insider Transaction Report

Form 4

Period: 2018-01-24

AVALARA INCAVLR

WATERMAN GARY

Director

Transactions

Exercise/Conversion
Warrant (right to buy)
2018-05-08−10,000→ 0 total
Exercise: $13.84→ Common Stock (10,000 underlying)
Exercise/Conversion
Common Stock
2018-05-08$12.20/sh+10,000$122,000→ 87,500 total
Exercise/Conversion
Common Stock
2018-05-08$12.60/sh+10,000$126,000→ 97,500 total
Award
Warrant (right to buy)
2018-01-24+10,000→ 10,000 total
Exercise: $16.60→ Common Stock (10,000 underlying)
Conversion
Series A Preferred Stock
2018-06-19−1,602,903→ 0 total
→ Common Stock (801,449 underlying)
Conversion
Series B Preferred Stock
2018-06-19−262,767→ 0 total
→ Common Stock (131,383 underlying)
Exercise/Conversion
Common Stock
2018-05-08$9.72/sh+10,000$97,200→ 77,500 total
Exercise/Conversion
Common Stock
2018-05-08$13.84/sh+10,000$138,400→ 107,500 total
Conversion
Common Stock
2018-06-19+74,074→ 1,436,344 total
Exercise/Conversion
Warrant (right to buy)
2018-05-08−10,000→ 0 total
Exercise: $12.60→ Common Stock (10,000 underlying)
Exercise/Conversion
Warrant (right to buy)
2018-05-08−10,000→ 0 total
Exercise: $9.72→ Common Stock (10,000 underlying)
Exercise/Conversion
Common Stock
2018-05-08$4.50/sh+10,000$45,000→ 67,500 total
Conversion
Common Stock
2018-06-19+226,928→ 1,145,877 total
Conversion
Common Stock
2018-06-19+39,556→ 1,362,270 total
Exercise/Conversion
Warrant (right to buy)
2018-05-08−10,000→ 0 total
Exercise: $16.60→ Common Stock (10,000 underlying)
Exercise/Conversion
Warrant (right to buy)
2018-05-08−10,000→ 0 total
Exercise: $12.20→ Common Stock (10,000 underlying)
Exercise/Conversion
Warrant (right to buy)
2018-05-08−10,000→ 0 total
Exercise: $4.50→ Common Stock (10,000 underlying)
Conversion
Series A-1 Preferred Stock
2018-06-19−453,856→ 0 total
→ Common Stock (226,928 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−79,113→ 0 total
→ Common Stock (39,556 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−148,148→ 0 total
→ Common Stock (74,074 underlying)
Exercise/Conversion
Common Stock
2018-05-08$16.60/sh+10,000$166,000→ 117,500 total
Conversion
Common Stock
2018-06-19+801,449→ 918,919 total
Conversion
Common Stock
2018-06-19+131,383→ 1,277,260 total
Conversion
Common Stock
2018-06-19+45,454→ 1,322,714 total
Conversion
Series B-1 Preferred Stock
2018-06-19−90,909→ 0 total
→ Common Stock (45,454 underlying)

Footnotes (4)

[F1]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.
[F2]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.
[F3]The warrant was fully exercisable upon grant.
[F4]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.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

AVALARA INC

CIK 0001348036

→

Entity typeother

Related Parties

filerCIK 0001201463

Filing Metadata

Form type: 4
Filed: Jun 18, 8:00 PM ET
Accepted: Jun 19, 6:43 PM ET
Size: 50.5 KB

View on SEC.gov