person · Reporting owner

Warburg Pincus Private Equity XI, L.P.

Disclosed activity across 3 companies

Tapewire entity: 47102
SEC CIK: 0001540163

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Reported relationships

Latest disclosed role at each company.

No relationships currently tracked through insider filings.

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

No balances currently tracked through insider filings.

Past disclosures · reporting ended (3)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

AVALARA, INC.

Report date May 20, 2019 · Filed May 22, 2019

Jointly reported with WARBURG PINCUS & CO., WP AVLR Holdco LLC, 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

Section 16 reporting ended · disclosed 2019-05-22. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	4,859,989	Reported balance After 2019-05-20 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-05-20 · Sale · Disposed 4,400,000 · Balance 4,859,989 F1: WP AVLR Holdco LLC ("WP AVLR") is a wholly owned subsidiary of WPXI Finance, LP ("WPXIF") and Warburg Pincus XI Partners, L.P. ("WPXI Partners"). WPXIF is a subsidiary of Warburg Pincus Private Equity XI, L.P. ("WPXI"). WPXI Partners and WPXI are collectively 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. F2: (Continued from Footnote 1) 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. F3: Each of WPXIF, WPXI Partners, WPXIF GP, WPXI, WP XI GP, WP Global, WPP II, WPP GP LLC, WP, WP LLC and Messrs. Kaye and Landy disclaim beneficial ownership of all shares held by WP AVLR, except to the extent of its or his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: WP AVLR Holdco LLC ("WP AVLR") is a wholly owned subsidiary of WPXI Finance, LP ("WPXIF") and Warburg Pincus XI Partners, L.P. ("WPXI Partners"). WPXIF is a subsidiary of Warburg Pincus Private Equity XI, L.P. ("WPXI"). WPXI Partners and WPXI are collectively 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.

F2: (Continued from Footnote 1) 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.

F3: Each of WPXIF, WPXI Partners, WPXIF GP, WPXI, WP XI GP, WP Global, WPP II, WPP GP LLC, WP, WP LLC and Messrs. Kaye and Landy disclaim beneficial ownership of all shares held by WP AVLR, except to the extent of its or his pecuniary interest therein, if any.

SOC Telemed, Inc.

Report date April 06, 2022 · Filed April 07, 2022

Jointly reported with WARBURG PINCUS & CO., SOC Holdings LLC, WPXI Finance, LP, WPXI GP, L.P., Warburg Pincus XI Partners, L.P., Warburg Pincus XI, L.P., WP Global LLC, Warburg Pincus Partners II, L.P., Warburg Pincus Partners GP LLC

Section 16 reporting ended · disclosed 2022-04-07. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2022-04-06 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-04-06 · Disposition to issuer · Disposed 33,874,965 · Balance 0 F1: On April 6, 2022, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 2, 2022, by and among SOC Telemed, Inc. (the "Issuer"), Spark Parent, Inc. ("Parent") and Spark Merger Sub, Inc. ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a direct, wholly owned subsidiary of Parent, each share of the Issuer's Class A Common Stock (other than certain excluded shares) outstanding as of immediately prior to the effective time of the Merger (the "Effective Time") was canceled and automatically converted into the right to receive an amount in cash equal to $3.00 (the "Merger Consideration"), without any interest thereon and subject to any applicable withholding taxes. F2: Reflects shares of Class A Common Stock held directly by SOC Holdings LLC. SOC Holdings LLC is controlled by WPXI Finance, LP ("WPXIF") and Warburg Pincus XI Partners, L.P. ("WPXI Partners"). WPXIF is a subsidiary of Warburg Pincus Private Equity XI, L.P. ("WPXI"). WPXI Partners and WPXI are collectively 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. F3: Each of WPXIF, WPXI Partners, WPXIF GP, WPXI, WP XI GP, WP Global, WPP II, WPP GP LLC, WP and WP LLC disclaim beneficial ownership of all shares held by SOC Holdings LLC, except to the extent of its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: On April 6, 2022, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 2, 2022, by and among SOC Telemed, Inc. (the "Issuer"), Spark Parent, Inc. ("Parent") and Spark Merger Sub, Inc. ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a direct, wholly owned subsidiary of Parent, each share of the Issuer's Class A Common Stock (other than certain excluded shares) outstanding as of immediately prior to the effective time of the Merger (the "Effective Time") was canceled and automatically converted into the right to receive an amount in cash equal to $3.00 (the "Merger Consideration"), without any interest thereon and subject to any applicable withholding taxes.

F2: Reflects shares of Class A Common Stock held directly by SOC Holdings LLC. SOC Holdings LLC is controlled by WPXI Finance, LP ("WPXIF") and Warburg Pincus XI Partners, L.P. ("WPXI Partners"). WPXIF is a subsidiary of Warburg Pincus Private Equity XI, L.P. ("WPXI"). WPXI Partners and WPXI are collectively 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.

F3: Each of WPXIF, WPXI Partners, WPXIF GP, WPXI, WP XI GP, WP Global, WPP II, WPP GP LLC, WP and WP LLC disclaim beneficial ownership of all shares held by SOC Holdings LLC, except to the extent of its pecuniary interest therein, if any.

Sotera Health Co

Report date May 13, 2026 · Filed May 15, 2026

Jointly reported with WARBURG PINCUS & CO., Bull Co-Invest L.P., Bull Holdco L.P., Warburg Pincus Partners II, L.P., Warburg Pincus Private Equity XI-B, L.P., Warburg Pincus XI Partners, L.P., Warburg Pincus XI, L.P., WP Global LLC, WP XI Partners, L.P.

Section 16 reporting ended · disclosed 2026-05-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.01 par value per share ("Common Stock")SEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2026-05-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-05-13 · Sale · Disposed 19,102,952 · Balance 0 F1: On May 13, 2026, certain of the Warburg Pincus Entities (as defined below) sold a total of 19,102,952 shares of Common Stock of Sotera Health Company (the "Issuer") in an underwritten public secondary offering (the "Offering"). F2: Warburg Pincus XI, L.P., a Delaware limited partnership ("WP XI GP"), is the general partner of each of (i) Warburg Pincus Private Equity XI, L.P. ("WP XI"), (ii) Warburg Pincus Private Equity XI-B, L.P. ("WP XI-B"), (iii) WP XI Partners, L.P. ("WP XI Partners") and (iv) Warburg Pincus XI Partners, L.P. ("Warburg Pincus XI 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 (Cayman) XI, L.P. ("WP XI Cayman GP"), is the general partner of Warburg Pincus Private Equity XI-C, L.P. ("WP XI-C" and, together with WP XI, WP XI-B, WP XI Partners and Warburg Pincus XI Partners, the "WP XI Funds"). F3: The WP XI Funds, Bull Co-Invest L.P. ("Bull Co-Invest"), Bull Holdco L.P. ("Bull Holdco"), WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are collectively referred to herein as the "Warburg Pincus Entities. F4: Each Warburg Pincus Entity disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its pecuniary interest in such shares of Common Stock, if any. The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are directors-by-deputization solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Information with respect to each of the Warburg Pincus Entities is given solely by such Warburg Pincus Entity, and no Warburg Pincus Entity has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Entity. F5: Warburg Pincus XI-C, LLC ("WP XI-C LLC"), is the general partner of WP XI Cayman GP. Warburg Pincus Partners II (Cayman), L.P. ("WPP II Cayman"), is the managing member of WP XI-C LLC. Warburg Pincus (Bermuda) Private Equity GP Ltd. ("WP Bermuda GP"), is the general partner of WPP II Cayman. WP Bull Manager LLC ("WP Bull Manager"), is the general partner of Bull Co-Invest. WP is managing member of WP Bull Manager. Warburg Pincus LLC, a New York limited liability company ("WP LLC"), is the manager of the WP XI Funds. The WP XI Funds share limited partnership ownership in Bull Holdco on a pro rata basis in accordance with their respective numbers of Contributed Shares.

Filing footnotes · ownership attribution and instrument terms

F1: On May 13, 2026, certain of the Warburg Pincus Entities (as defined below) sold a total of 19,102,952 shares of Common Stock of Sotera Health Company (the "Issuer") in an underwritten public secondary offering (the "Offering").

F2: Warburg Pincus XI, L.P., a Delaware limited partnership ("WP XI GP"), is the general partner of each of (i) Warburg Pincus Private Equity XI, L.P. ("WP XI"), (ii) Warburg Pincus Private Equity XI-B, L.P. ("WP XI-B"), (iii) WP XI Partners, L.P. ("WP XI Partners") and (iv) Warburg Pincus XI Partners, L.P. ("Warburg Pincus XI 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 (Cayman) XI, L.P. ("WP XI Cayman GP"), is the general partner of Warburg Pincus Private Equity XI-C, L.P. ("WP XI-C" and, together with WP XI, WP XI-B, WP XI Partners and Warburg Pincus XI Partners, the "WP XI Funds").

F3: The WP XI Funds, Bull Co-Invest L.P. ("Bull Co-Invest"), Bull Holdco L.P. ("Bull Holdco"), WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are collectively referred to herein as the "Warburg Pincus Entities.

F4: Each Warburg Pincus Entity disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its pecuniary interest in such shares of Common Stock, if any. The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are directors-by-deputization solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Information with respect to each of the Warburg Pincus Entities is given solely by such Warburg Pincus Entity, and no Warburg Pincus Entity has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Entity.

F5: Warburg Pincus XI-C, LLC ("WP XI-C LLC"), is the general partner of WP XI Cayman GP. Warburg Pincus Partners II (Cayman), L.P. ("WPP II Cayman"), is the managing member of WP XI-C LLC. Warburg Pincus (Bermuda) Private Equity GP Ltd. ("WP Bermuda GP"), is the general partner of WPP II Cayman. WP Bull Manager LLC ("WP Bull Manager"), is the general partner of Bull Co-Invest. WP is managing member of WP Bull Manager. Warburg Pincus LLC, a New York limited liability company ("WP LLC"), is the manager of the WP XI Funds. The WP XI Funds share limited partnership ownership in Bull Holdco on a pro rata basis in accordance with their respective numbers of Contributed Shares.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
May 13, 2026 Filed May 15, 2026 20:48 UTC	Sotera Health Co SHC · Entity 3869	SaleCommon Stock, $0.01 par value per share ("Common Stock")	19,102,952	$15.17	$289,753,575.94	Disclosure SEC source: 0001999371-26-010899 · ownership.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · Director · 10% owner Bull Co-Invest L.P. · CIK 0001832693 · Director · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · Director · 10% owner Bull Holdco L.P. · CIK 0002014247 · Director · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · Director · 10% owner Warburg Pincus Private Equity XI-B, L.P. · CIK 0001540166 · Director · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · Director · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · Director · 10% owner WP Global LLC · CIK 0001540385 · Director · 10% owner WP XI Partners, L.P. · CIK 0001540164 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · shares: On May 13, 2026, certain of the Warburg Pincus Entities (as defined below) sold a total of 19,102,952 shares of Common Stock of Sotera Health Company (the "Issuer") in an underwritten public secondary offering (the "Offering"). F2 · ownership.nature: Warburg Pincus XI, L.P., a Delaware limited partnership ("WP XI GP"), is the general partner of each of (i) Warburg Pincus Private Equity XI, L.P. ("WP XI"), (ii) Warburg Pincus Private Equity XI-B, L.P. ("WP XI-B"), (iii) WP XI Partners, L.P. ("WP XI Partners") and (iv) Warburg Pincus XI Partners, L.P. ("Warburg Pincus XI 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 (Cayman) XI, L.P. ("WP XI Cayman GP"), is the general partner of Warburg Pincus Private Equity XI-C, L.P. ("WP XI-C" and, together with WP XI, WP XI-B, WP XI Partners and Warburg Pincus XI Partners, the "WP XI Funds"). F3 · ownership.nature: The WP XI Funds, Bull Co-Invest L.P. ("Bull Co-Invest"), Bull Holdco L.P. ("Bull Holdco"), WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are collectively referred to herein as the "Warburg Pincus Entities. F4 · ownership.nature: Each Warburg Pincus Entity disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its pecuniary interest in such shares of Common Stock, if any. The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are directors-by-deputization solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Information with respect to each of the Warburg Pincus Entities is given solely by such Warburg Pincus Entity, and no Warburg Pincus Entity has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Entity. F5 · ownership.nature: Warburg Pincus XI-C, LLC ("WP XI-C LLC"), is the general partner of WP XI Cayman GP. Warburg Pincus Partners II (Cayman), L.P. ("WPP II Cayman"), is the managing member of WP XI-C LLC. Warburg Pincus (Bermuda) Private Equity GP Ltd. ("WP Bermuda GP"), is the general partner of WPP II Cayman. WP Bull Manager LLC ("WP Bull Manager"), is the general partner of Bull Co-Invest. WP is managing member of WP Bull Manager. Warburg Pincus LLC, a New York limited liability company ("WP LLC"), is the manager of the WP XI Funds. The WP XI Funds share limited partnership ownership in Bull Holdco on a pro rata basis in accordance with their respective numbers of Contributed Shares. Read SEC document
March 06, 2026 Filed Mar 10, 2026 23:49 UTC	Sotera Health Co SHC · Entity 3869	SaleCommon Stock, $0.01 par value per share ("Common Stock")	15,000,000	$15.27	$229,050,000.00	Disclosure SEC source: 0001999371-26-005532 · ownership.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · Director · 10% owner Bull Co-Invest L.P. · CIK 0001832693 · Director · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · Director · 10% owner Bull Holdco L.P. · CIK 0002014247 · Director · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · Director · 10% owner Warburg Pincus Private Equity XI-B, L.P. · CIK 0001540166 · Director · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · Director · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · Director · 10% owner WP Global LLC · CIK 0001540385 · Director · 10% owner WP XI Partners, L.P. · CIK 0001540164 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 19,102,952 F1 · shares: On March 6, 2026, certain of the Warburg Pincus Entities (as defined below) sold a total of 15,000,000 shares of Common Stock of Sotera Health Company (the "Issuer") in an underwritten public secondary offering (the "Offering"). F2 · balance_after: Following the Offering, consists of (i) 15,287,717 shares of Common Stock of the Issuer held by Bull Holdco L.P. ("Bull Holdco") and (ii) 3,815,235 shares of Common Stock of the Issuer held by Bull Co-Invest L.P., a Delaware limited partnership ("Bull Co-Invest"). F3 · ownership.nature: Warburg Pincus XI, L.P., a Delaware limited partnership ("WP XI GP"), is the general partner of each of (i) Warburg Pincus Private Equity XI, L.P. ("WP XI"), (ii) Warburg Pincus Private Equity XI-B, L.P. ("WP XI-B"), (iii) WP XI Partners, L.P. ("WP XI Partners") and (iv) Warburg Pincus XI Partners, L.P. ("Warburg Pincus XI 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 (Cayman) XI, L.P. ("WP XI Cayman GP"), is the general partner of Warburg Pincus Private Equity XI-C, L.P. ("WP XI-C" and, together with WP XI, WP XI-B, WP XI Partners and Warburg Pincus XI Partners, the "WP XI Funds"). F4 · ownership.nature: The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are collectively referred to herein as the "Warburg Pincus Entities." F5 · ownership.nature: Each Warburg Pincus Entity disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its pecuniary interest in such shares of Common Stock, if any. The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are directors-by-deputization solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Information with respect to each of the Warburg Pincus Entities is given solely by such Warburg Pincus Entity, and no Warburg Pincus Entity has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Entity. F6 · ownership.nature: Warburg Pincus XI-C, LLC ("WP XI-C LLC"), is the general partner of WP XI Cayman GP. Warburg Pincus Partners II (Cayman), L.P. ("WPP II Cayman"), is the managing member of WP XI-C LLC. Warburg Pincus (Bermuda) Private Equity GP Ltd. ("WP Bermuda GP"), is the general partner of WPP II Cayman. WP Bull Manager LLC ("WP Bull Manager"), is the general partner of Bull Co-Invest. WP is managing member of WP Bull Manager. Warburg Pincus LLC, a New York limited liability company ("WP LLC"), is the manager of the WP XI Funds. The WP XI Funds share limited partnership ownership in Bull Holdco on a pro rata basis in accordance with their respective numbers of Contributed Shares. Read SEC document
November 10, 2025 Filed Nov 12, 2025 21:11 UTC	Sotera Health Co SHC · Entity 3869	SaleCommon Stock, $0.01 par value per share ("Common Stock")	18,000,000	$15.65	$281,718,000.00	Disclosure SEC source: 0001999371-25-017526 · warburg_ownership.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · Director · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · Director · 10% owner WP XI Partners, L.P. · CIK 0001540164 · Director · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · Director · 10% owner Warburg Pincus Private Equity XI-B, L.P. · CIK 0001540166 · Director · 10% owner Bull Co-Invest L.P. · CIK 0001832693 · Director · 10% owner Bull Holdco L.P. · CIK 0002014247 · Director · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · Director · 10% owner WP Global LLC · CIK 0001540385 · Director · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 43,822,952 F1 · shares: On November 10, 2025, certain of the Warburg Pincus Entities (as defined below) sold a total of 18,000,000 shares of Common Stock of Sotera Health Company (the "Issuer") in an underwritten public secondary offering (the "Offering"). F2 · balance_after: Following the Offering, consists of (i) 14,405,046 shares of Common Stock of the Issuer held by Bull Holdco L.P. ("Bull Holdco") and (ii) 3,594,954 shares of Common Stock of the Issuer held by Bull Co-Invest L.P., a Delaware limited partnership ("Bull Co-Invest"). F3 · ownership.nature: Warburg Pincus XI, L.P., a Delaware limited partnership ("WP XI GP"), is the general partner of each of (i) Warburg Pincus Private Equity XI, L.P. ("WP XI"), (ii)Warburg Pincus Private Equity XI-B, L.P. ("WP XI-B"), (iii) WP XI Partners, L.P. ("WP XI Partners") and (iv) Warburg Pincus XI Partners, L.P. ("Warburg Pincus XI 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 (Cayman) XI, L.P. ("WP XI Cayman GP"), is the general partner of Warburg Pincus Private Equity XI-C, L.P. ("WP XI-C" and, together with WP XI,WP XI-B, WP XI Partners and Warburg Pincus XI Partners, the "WP XI Funds"). F4 · ownership.nature: The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are collectively referred to herein as the "Warburg Pincus Entities." F5 · ownership.nature: Each Warburg Pincus Entity disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its pecuniary interest in such shares of Common Stock, if any. The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are directors-by-deputization solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Information with respect to each of the Warburg Pincus Entities is given solely by such Warburg Pincus Entity, and no Warburg Pincus Entity has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Entity. F6 · ownership.nature: Warburg Pincus XI-C, LLC ("WP XI-C LLC"), is the general partner of WP XI Cayman GP. Warburg Pincus Partners II (Cayman), L.P. ("WPP II Cayman"), is the managing member of WP XI-C LLC. Warburg Pincus (Bermuda) Private Equity GP Ltd. ("WP Bermuda GP"), is the general partner of WPP II Cayman. WP Bull Manager LLC ("WP Bull Manager"), is the general partner of Bull Co-Invest. WP is managing member of WP Bull Manager. Warburg Pincus LLC, a New York limited liability company ("WP LLC"), is the manager of the WP XI Funds. The WP XI Funds share limited partnership ownership in Bull Holdco on a pro rata basis in accordance with their respective numbers of Contributed Shares. Read SEC document
September 05, 2025 Filed Sep 10, 2025 01:37 UTC	Sotera Health Co SHC · Entity 3869	SaleCommon Stock, $0.01 par value per share ("Common Stock")	12,000,000	$15.11	$181,332,000.00	Disclosure SEC source: 0001999371-25-012975 · ownership.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · Director · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · Director · 10% owner WP XI Partners, L.P. · CIK 0001540164 · Director · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · Director · 10% owner Warburg Pincus Private Equity XI-B, L.P. · CIK 0001540166 · Director · 10% owner Bull Co-Invest L.P. · CIK 0001832693 · Director · 10% owner Bull Holdco L.P. · CIK 0002014247 · Director · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · Director · 10% owner WP Global LLC · CIK 0001540385 · Director · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 61,822,952 F1 · shares: On September 5, 2025, certain of the Warburg Pincus Entities (as defined below) sold a total of 12,000,000 shares of Common Stock of Sotera Health Company (the "Issuer") in an underwritten public secondary offering (the "Offering"). F2 · balance_after: Following the Offering, consists of (i) 49,475,694 shares of Common Stock of the Issuer held by Bull Holdco L.P. ("Bull Holdco") and (ii) 12,347,258 shares of Common Stock of the Issuer held by Bull Co-Invest L.P., a Delaware limited partnership ("Bull Co-Invest"). F3 · ownership.nature: Warburg Pincus XI, L.P., a Delaware limited partnership ("WP XI GP"), is the general partner of each of (i) Warburg Pincus Private Equity XI, L.P. ("WP XI"), (ii) Warburg Pincus Private Equity XI-B, L.P. ("WP XI-B"), (iii) WP XI Partners, L.P. ("WP XI Partners") and (iv) Warburg Pincus XI Partners, L.P. ("Warburg Pincus XI 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 (Cayman) XI, L.P. ("WP XI Cayman GP"), is the general partner of Warburg Pincus Private Equity XI-C, L.P. ("WP XI-C" and, together with WP XI, WP XI-B, WP XI Partners and Warburg Pincus XI Partners, the "WP XI Funds"). F4 · ownership.nature: The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are collectively referred to herein as the "Warburg Pincus Entities." F5 · ownership.nature: Each Warburg Pincus Entity disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its pecuniary interest in such shares of Common Stock, if any. The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are directors-by-deputization solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Information with respect to each of the Warburg Pincus Entities is given solely by such Warburg Pincus Entity, and no Warburg Pincus Entity has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Entity. F6 · ownership.nature: Warburg Pincus XI-C, LLC ("WP XI-C LLC"), is the general partner of WP XI Cayman GP. Warburg Pincus Partners II (Cayman), L.P. ("WPP II Cayman"), is the managing member of WP XI-C LLC. Warburg Pincus (Bermuda) Private Equity GP Ltd. ("WP Bermuda GP"), is the general partner of WPP II Cayman. WP Bull Manager LLC ("WP Bull Manager"), is the general partner of Bull Co-Invest. WP is managing member of WP Bull Manager. Warburg Pincus LLC, a New York limited liability company ("WP LLC"), is the manager of the WP XI Funds. The WP XI Funds share limited partnership ownership in Bull Holdco on a pro rata basis in accordance with their respective numbers of Contributed Shares. Read SEC document
September 06, 2024 Filed Sep 9, 2024 23:13 UTC	Sotera Health Co SHC · Entity 3869	SaleCommon Stock, $0.01 par value per share ("Common Stock")	15,000,000	$15.03	$225,450,000.00	Disclosure SEC source: 0001999371-24-011715 · ownership.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · Director · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · Director · 10% owner WP XI Partners, L.P. · CIK 0001540164 · Director · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · Director · 10% owner Warburg Pincus Private Equity XI-B, L.P. · CIK 0001540166 · Director · 10% owner Bull Co-Invest L.P. · CIK 0001832693 · Director · 10% owner Bull Holdco L.P. · CIK 0002014247 · Director · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · Director · 10% owner WP Global LLC · CIK 0001540385 · Director · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 73,822,952 F1 · shares: On September 6, 2024, certain of the Warburg Pincus Entities (as defined below) sold a total of 15,000,000 shares of Common Stock of Sotera Health Company (the "Issuer") in an underwritten public secondary offering (the "Offering"). F2 · balance_after: Following the Offering, consists of (i) 59,079,058 shares of Common Stock of the Issuer held by Bull Holdco L.P. ("Bull Holdco") and (iii) 14,743,894 shares of Common Stock of the Issuer held by Bull Co-Invest L.P., a Delaware limited partnership ("Bull Co-Invest"). F3 · ownership.nature: Warburg Pincus XI, L.P., a Delaware limited partnership ("WP XI GP"), is the general partner of each of (i) Warburg Pincus Private Equity XI, L.P. ("WP XI"), (ii) Warburg Pincus Private Equity XI-B, L.P. ("WP XI-B"), (iii) WP XI Partners, L.P. ("WP XI Partners") and (iv) Warburg Pincus XI Partners, L.P. ("Warburg Pincus XI 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 (Cayman) XI, L.P. ("WP XI Cayman GP"), is the general partner of Warburg Pincus Private Equity XI-C, L.P. ("WP XI-C" and, together with WP XI, WP XI-B, WP XI Partners and Warburg Pincus XI Partners, the "WP XI Funds"). F4 · ownership.nature: The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are collectively referred to herein as the "Warburg Pincus Entities." F5 · ownership.nature: Each Warburg Pincus Entity disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its pecuniary interest in such shares of Common Stock, if any. The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are directors-by-deputization solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Information with respect to each of the Warburg Pincus Entities is given solely by such Warburg Pincus Entity, and no Warburg Pincus Entity has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Entity. F6 · ownership.nature: Warburg Pincus XI-C, LLC ("WP XI-C LLC"), is the general partner of WP XI Cayman GP. Warburg Pincus Partners II (Cayman), L.P. ("WPP II Cayman"), is the managing member of WP XI-C LLC. Warburg Pincus (Bermuda) Private Equity GP Ltd. ("WP Bermuda GP"), is the general partner of WPP II Cayman. WP Bull Manager LLC ("WP Bull Manager"), is the general partner of Bull Co-Invest. WP is managing member of WP Bull Manager. Warburg Pincus LLC, a New York limited liability company ("WP LLC"), is the manager of the WP XI Funds. The WP XI Funds share limited partnership ownership in Bull Holdco on a pro rata basis in accordance with their respective numbers of Contributed Shares. Read SEC document
March 04, 2024 Filed Mar 6, 2024 22:38 UTC	Sotera Health Co SHC · Entity 3869	SaleCommon Stock, $0.01 par value per share ("Common Stock")	16,594,363	$14.31	$237,423,848.62	Disclosure SEC source: 0001999371-24-003175 · sotera-form4.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · Director · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · Director · 10% owner WP XI Partners, L.P. · CIK 0001540164 · Director · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · Director · 10% owner Warburg Pincus Private Equity XI-B, L.P. · CIK 0001540166 · Director · 10% owner Bull Co-Invest L.P. · CIK 0001832693 · Director · 10% owner Bull Holdco L.P. · CIK 0002014247 · Director · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · Director · 10% owner WP Global LLC · CIK 0001540385 · Director · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 88,822,952 F1 · shares: On March 4, 2024, certain of the Warburg Pincus Entities (as defined below) sold a total of 16,594,363 shares of Common Stock of Sotera Health Company (the "Issuer") in an underwritten public secondary offering (the "Offering"). F2 · balance_after: Following the Offering, consists of (i) 71,083,263 shares of Common Stock of the Issuer held by Bull Holdco L.P. ("Bull Holdco") and (iii) 17,739,689 shares of Common Stock of the Issuer held by Bull Co-Invest L.P., a Delaware limited partnership ("Bull Co-Invest"). F3 · ownership.nature: Warburg Pincus XI, L.P., a Delaware limited partnership ("WP XI GP"), is the general partner of each of (i) Warburg Pincus Private Equity XI, L.P. ("WP XI"), (ii) Warburg Pincus Private Equity XI-B, L.P. ("WP XI-B"), (iii) WP XI Partners, L.P. ("WP XI Partners") and (iv) Warburg Pincus XI Partners, L.P. ("Warburg Pincus XI 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 (Cayman) XI, L.P. ("WP XI Cayman GP"), is the general partner of Warburg Pincus Private Equity XI-C, L.P. ("WP XI-C" and, together with WP XI, WP XI-B, WP XI Partners and Warburg Pincus XI Partners, the "WP XI Funds"). F4 · ownership.nature: The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are collectively referred to herein as the "Warburg Pincus Entities." F5 · ownership.nature: Each Warburg Pincus Entity disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its pecuniary interest in such shares of Common Stock, if any. The WP XI Funds, Bull Co-Invest, Bull Holdco, WP Global, WPP II, WPP GP LLC, WP XI Cayman GP, WP XI-C LLC, WPP II Cayman, WP Bermuda GP, WP Bull Manager, WP LLC and WP are directors-by-deputization solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Information with respect to each of the Warburg Pincus Entities is given solely by such Warburg Pincus Entity, and no Warburg Pincus Entity has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Entity. F6 · ownership.nature: Warburg Pincus XI-C, LLC ("WP XI-C LLC"), is the general partner of WP XI Cayman GP. Warburg Pincus Partners II (Cayman), L.P. ("WPP II Cayman"), is the managing member of WP XI-C LLC. Warburg Pincus (Bermuda) Private Equity GP Ltd. ("WP Bermuda GP"), is the general partner of WPP II Cayman. WP Bull Manager LLC ("WP Bull Manager"), is the general partner of Bull Co-Invest. WP is managing member of WP Bull Manager. Warburg Pincus LLC, a New York limited liability company ("WP LLC"), is the manager of the WP XI Funds. The WP XI Funds share limited partnership ownership in Bull Holdco on a pro rata basis in accordance with their respective numbers of Contributed Shares. Read SEC document
April 06, 2022 Filed Apr 7, 2022 20:45 UTC	SOC Telemed, Inc. TLMD · Entity 128175	Disposition to issuerClass A Common Stock	33,874,965	$3.00	$101,624,895.00	Disclosure SEC source: 0001213900-22-018701 · ownership.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · Director · 10% owner SOC Holdings LLC · CIK 0001831482 · Director · 10% owner WPXI Finance, LP · CIK 0001742449 · Director · 10% owner WPXI GP, L.P. · CIK 0001743648 · Director · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · Director · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · Director · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · Director · 10% owner WP Global LLC · CIK 0001540385 · Director · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · Director · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: On April 6, 2022, pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 2, 2022, by and among SOC Telemed, Inc. (the "Issuer"), Spark Parent, Inc. ("Parent") and Spark Merger Sub, Inc. ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a direct, wholly owned subsidiary of Parent, each share of the Issuer's Class A Common Stock (other than certain excluded shares) outstanding as of immediately prior to the effective time of the Merger (the "Effective Time") was canceled and automatically converted into the right to receive an amount in cash equal to $3.00 (the "Merger Consideration"), without any interest thereon and subject to any applicable withholding taxes. F2 · ownership.nature: Reflects shares of Class A Common Stock held directly by SOC Holdings LLC. SOC Holdings LLC is controlled by WPXI Finance, LP ("WPXIF") and Warburg Pincus XI Partners, L.P. ("WPXI Partners"). WPXIF is a subsidiary of Warburg Pincus Private Equity XI, L.P. ("WPXI"). WPXI Partners and WPXI are collectively 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. F3 · ownership.nature: Each of WPXIF, WPXI Partners, WPXIF GP, WPXI, WP XI GP, WP Global, WPP II, WPP GP LLC, WP and WP LLC disclaim beneficial ownership of all shares held by SOC Holdings LLC, except to the extent of its pecuniary interest therein, if any. Read SEC document
March 22, 2021 Filed Mar 25, 2021 00:58 UTC	Sotera Health Co SHC · Entity 3869	SaleCommon Stock, $0.01 par value per share ("Common Stock")	13,512,582	$26.12	$352,982,423.30	Disclosure SEC source: 0001387131-21-003870 · ownership.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · Director · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · Director · 10% owner WP XI Partners, L.P. · CIK 0001540164 · Director · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · Director · 10% owner Warburg Pincus Private Equity XI-B, L.P. · CIK 0001540166 · Director · 10% owner Bull Co-Invest L.P. · CIK 0001832693 · Director · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · Director · 10% owner WP Global LLC · CIK 0001540385 · Director · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · Director · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 105,417,315 F1 · shares: On March 22, 2021, certain of the Warburg Pincus Entities (as defined below) sold a total of 13,512,582 shares of Common Stock of Sotera Health Company (the "Issuer") in an underwritten public secondary offering (the "Offering"). F2 · balance_after: Following the Offering, consists of (i) 84,093,443 shares of Common Stock of the Issuer held by Warburg Pincus Private Equity XI, L.P., Warburg Pincus XI Partners, L.P., WP XI Partners, L.P., Warburg Pincus Private Equity XI-B, L.P. (collectively, the "WP XI Funds"), (ii) 269,963 shares of Common Stock of the Issuer held by Warburg Pincus Private Equity XI-C, L.P. ("WP XI-C") and (iii) 21,053,909 shares of Common Stock of the Issuer held by Bull Co-Invest L.P., a Delaware limited partnership ("Bull Co-Invest"). F3 · ownership.nature: Warburg Pincus XI, L.P., a Delaware limited partnership ("WP XI LP"), is the general partner of the WP XI Funds. WP Global LLC ("WP Global"), is the general partner of WP XI LP. 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 (Cayman) XI, L.P. ("WP Cayman") is the general partner of WP XI-C. Warburg Pincus XI-C, LLC ("Warburg Pincus XI-C") is the general partner of WP Cayman. Warburg Pincus Partners II (Cayman), L.P. ("WPP II Cayman") is the managing member of Warburg Pincus XI-C. Warburg Pincus (Bermuda) Private Equity GP Ltd. ("Warburg Pincus (Bermuda)") is the general partner of WPP II Cayman. WP Bull Manager, LLC ("WP Bull Manager") is the general partner of Bull Co-Invest. WP is the managing member of WP Bull Manager, LLC. F4 · ownership.nature: Warburg Pincus LLC ("WP LLC") is the manager of the WP XI Funds and WP XI-C. The WP XI Funds, Bull Co-Invest, WP XI-C, WP XI LP, WP Global, WPP II, WPP GP LLC, WP Cayman, Warburg Pincus XI-C, WPP II Cayman, Warburg Pincus (Bermuda), WP Bull Manager, WP LLC and WP are collectively referred to herein as the "Warburg Pincus Entities." F5 · ownership.nature: Each Warburg Pincus Entity disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its pecuniary interest in such shares of Common Stock, if any. The WP XI Funds, WP XI-C, Bull Co-Invest, WP XI LP, WP Global, WPP II, WPP GP LLC, WP, WP Cayman, WPP II Cayman, Warburg Pincus (Bermuda), Warburg Pincus XI-C and WP Bull Manager are directors-by-deputization solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. Information with respect to each of the Warburg Pincus Entities is given solely by such Warburg Pincus Entity, and no Warburg Pincus Entity has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Entity. Read SEC document
May 20, 2019 Filed May 22, 2019 20:06 UTC	AVALARA, INC. AVLR · Entity 123010	SaleCommon Stock	4,400,000	$69.63	$306,350,000.00	Disclosure SEC source: 0001209191-19-032027 · doc4.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner WP AVLR Holdco LLC · CIK 0001770630 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,859,989 F1 · ownership.nature: WP AVLR Holdco LLC ("WP AVLR") is a wholly owned subsidiary of WPXI Finance, LP ("WPXIF") and Warburg Pincus XI Partners, L.P. ("WPXI Partners"). WPXIF is a subsidiary of Warburg Pincus Private Equity XI, L.P. ("WPXI"). WPXI Partners and WPXI are collectively 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. F2 · ownership.nature: (Continued from Footnote 1) 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. F3 · ownership.nature: Each of WPXIF, WPXI Partners, WPXIF GP, WPXI, WP XI GP, WP Global, WPP II, WPP GP LLC, WP, WP LLC and Messrs. Kaye and Landy disclaim beneficial ownership of all shares held by WP AVLR, except to the extent of its or his pecuniary interest therein, if any. Read SEC document
February 19, 2019 Filed Feb 21, 2019 21:37 UTC	AVALARA, INC. AVLR · Entity 123010	SaleCommon Stock	235,000	$49.03	$11,522,050.00	Disclosure SEC source: 0001209191-19-012039 · doc4.xml · nonDerivative · entry 2 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 462,987 F1 · ownership.nature: 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. F2 · ownership.nature: (Continued from Footnote 1) 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. F4 · ownership.nature: 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. Read SEC document
February 19, 2019 Filed Feb 21, 2019 21:37 UTC	AVALARA, INC. AVLR · Entity 123010	SaleCommon Stock	4,465,000	$49.03	$218,918,950.00	Disclosure SEC source: 0001209191-19-012039 · doc4.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,797,002 F1 · ownership.nature: 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. F2 · ownership.nature: (Continued from Footnote 1) 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. F3 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionSeries D-2 Preferred Stock · Derivative	340,158	$0.00	$0.00	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · derivative · entry 20 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 170,078 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F5 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionSeries D-2 Preferred Stock · Derivative	6,463,011	$0.00	$0.00	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · derivative · entry 19 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 3,231,505 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F4 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionSeries D-1 Preferred Stock · Derivative	909,810	$0.00	$0.00	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · derivative · entry 18 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 454,904 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F5 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionSeries D-1 Preferred Stock · Derivative	17,286,391	$0.00	$0.00	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · derivative · entry 17 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 8,643,195 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F4 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionSeries D Preferred Stock · Derivative	4,632	$0.00	$0.00	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · derivative · entry 16 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,316 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F5 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionSeries D Preferred Stock · Derivative	88,011	$0.00	$0.00	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · derivative · entry 15 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 44,005 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F4 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionSeries B Preferred Stock · Derivative	2,401	$0.00	$0.00	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · derivative · entry 14 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,200 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F5 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionSeries B Preferred Stock · Derivative	45,629	$0.00	$0.00	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · derivative · entry 13 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 22,814 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F4 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionSeries A-1 Preferred Stock · Derivative	4,140	$0.00	$0.00	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · derivative · entry 12 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,070 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F5 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionSeries A-1 Preferred Stock · Derivative	78,670	$0.00	$0.00	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · derivative · entry 11 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 39,335 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F4 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionCommon Stock	170,078	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · nonDerivative · entry 10 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 697,987 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F5 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionCommon Stock	3,231,505	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · nonDerivative · entry 9 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 13,262,002 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F4 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionCommon Stock	454,904	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · nonDerivative · entry 8 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 527,909 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F5 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionCommon Stock	8,643,195	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · nonDerivative · entry 7 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 10,030,497 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F4 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionCommon Stock	2,316	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · nonDerivative · entry 6 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 73,005 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F5 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionCommon Stock	44,005	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · nonDerivative · entry 5 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,387,302 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F4 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionCommon Stock	1,200	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · nonDerivative · entry 4 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 70,689 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F5 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionCommon Stock	22,814	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · nonDerivative · entry 3 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,343,297 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F4 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionCommon Stock	2,070	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · nonDerivative · entry 2 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 69,489 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F5 · ownership.nature: 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. Read SEC document
June 19, 2018 Filed Jun 19, 2018 22:34 UTC	AVALARA, INC. AVLR · Entity 123010	ConversionCommon Stock	39,335	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-18-017218 · doc4.xml · nonDerivative · entry 1 WARBURG PINCUS & CO. · CIK 0000929408 · 10% owner Warburg Pincus Private Equity XI, L.P. · CIK 0001540163 · 10% owner WPXI Finance, LP · CIK 0001742449 · 10% owner Warburg Pincus XI Partners, L.P. · CIK 0001540386 · 10% owner WPXI GP, L.P. · CIK 0001743648 · 10% owner Warburg Pincus XI, L.P. · CIK 0001540167 · 10% owner WP Global LLC · CIK 0001540385 · 10% owner Warburg Pincus Partners II, L.P. · CIK 0001658787 · 10% owner Warburg Pincus Partners GP LLC · CIK 0001621224 · 10% owner WARBURG PINCUS LLC · CIK 0001162870 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,320,483 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. F3 · ownership.nature: (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. F4 · ownership.nature: 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. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.