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BRUDER ANN J.

Disclosed activity across 2 companies

Tapewire entity
90869
SEC CIK
0001470091

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
AVANTAX, INC.BCOR · Entity 107910Chief Legal Officer & Sec'yJanuary 09, 2023January 11, 2023
Sabre CorpSABR · Entity 5098EVP and Chief Legal OfficerMay 15, 2024May 17, 2024

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.

AVANTAX, INC.

Report date January 09, 2023 · Filed January 11, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect96,812 Reported balance After 2023-01-09 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2023-01-09 · Tax withholding · Disposed 1,247 · Balance 96,812

F1: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the reporting person.

F2: Not included in this amount are 53,035 performance-based RSUs of which (i) 12,301 are eligible to vest from 0% to 200% following the end of 2021, (ii) 15,184 are eligible to vest from 0% to 200% following the end of 2022 and (iii) 25,550 are eligible to vest from 0% to 200% following the end of 2023. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Filing footnotes · ownership attribution and instrument terms

F1: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the reporting person.

F2: Not included in this amount are 53,035 performance-based RSUs of which (i) 12,301 are eligible to vest from 0% to 200% following the end of 2021, (ii) 15,184 are eligible to vest from 0% to 200% following the end of 2022 and (iii) 25,550 are eligible to vest from 0% to 200% following the end of 2023. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Sabre Corp

Report date May 15, 2024 · Filed May 17, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect481,617 Ending reported balance After 2024-05-15 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2024-05-15 · Grant · Acquired 236,593 · Balance 499,110

F1: The Reporting Person received a grant of restricted share units on the transaction date. The restricted share units award vests as follows: 33 1/3% on the first anniversary of the date of grant (5/15/25); 33 1/3% on the second anniversary of the date of grant (5/15/26), and 33 1/3% on the third anniversary of the date of grant (5/15/27), subject to the Reporting Person's continued employment with the Issuer through each vesting date.

Row 2 · 2024-05-15 · Tax withholding · Disposed 17,493 · Balance 481,617

F2: This transaction represents the automatic surrender of shares to the Issuer upon vesting of restricted shares units to satisfy the Reporting Person's tax withholding obligations.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person received a grant of restricted share units on the transaction date. The restricted share units award vests as follows: 33 1/3% on the first anniversary of the date of grant (5/15/25); 33 1/3% on the second anniversary of the date of grant (5/15/26), and 33 1/3% on the third anniversary of the date of grant (5/15/27), subject to the Reporting Person's continued employment with the Issuer through each vesting date.

F2: This transaction represents the automatic surrender of shares to the Issuer upon vesting of restricted shares units to satisfy the Reporting Person's tax withholding obligations.

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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
May 15, 2024 Filed May 17, 2024 17:15 UTC Sabre Corp SABR · Entity 5098 Tax withholdingCommon Stock 17,493 $3.17 $55,452.81
Disclosure

SEC source: 0001597033-24-000090 · wk-form4_1715980497.xml · nonDerivative · entry 2

BRUDER ANN J. · CIK 0001470091 · EVP and Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 481,617

F2 · kind: This transaction represents the automatic surrender of shares to the Issuer upon vesting of restricted shares units to satisfy the Reporting Person's tax withholding obligations.

Read SEC document
May 15, 2024 Filed May 17, 2024 17:15 UTC Sabre Corp SABR · Entity 5098 GrantCommon Stock 236,593 $3.17 $749,999.81
Disclosure

SEC source: 0001597033-24-000090 · wk-form4_1715980497.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · EVP and Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 499,110

F1 · shares: The Reporting Person received a grant of restricted share units on the transaction date. The restricted share units award vests as follows: 33 1/3% on the first anniversary of the date of grant (5/15/25); 33 1/3% on the second anniversary of the date of grant (5/15/26), and 33 1/3% on the third anniversary of the date of grant (5/15/27), subject to the Reporting Person's continued employment with the Issuer through each vesting date.

Read SEC document
May 08, 2024 Filed May 9, 2024 16:59 UTC Sabre Corp SABR · Entity 5098 PurchaseCommon Stock 20,000 $2.63 $52,580.00
Disclosure

SEC source: 0001597033-24-000079 · wk-form4_1715288347.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · EVP and Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 262,517

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.625 to $2.63, inclusive. The reporting person undertakes to provide to Sabre Corporation, any security holder of Sabre Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

Read SEC document
August 08, 2023 Filed Aug 9, 2023 16:27 UTC Sabre Corp SABR · Entity 5098 PurchaseCommon Stock 25,000 $5.33 $133,230.00
Disclosure

SEC source: 0001597033-23-000077 · wk-form4_1691612815.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · EVP and Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 242,517

Read SEC document
May 15, 2023 Filed May 17, 2023 17:13 UTC Sabre Corp SABR · Entity 5098 GrantCommon Stock 215,517 $3.48 $749,999.16
Disclosure

SEC source: 0001597033-23-000062 · wk-form4_1684357984.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · EVP and Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,517

F1 · shares: The Reporting Person received a grant of restricted share units on the transaction date. The restricted share units award vests as follows: 33 1/3% on the first anniversary of the date of grant (5/15/24); 33 1/3% on the second anniversary of the date of grant (5/15/25), and 33 1/3% on the third anniversary of the date of grant (5/15/26), subject to the Reporting Person's continued employment with the Issuer through each vesting date.

Read SEC document
January 09, 2023 Filed Jan 11, 2023 18:46 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,247 $26.26 $32,746.22
Disclosure

SEC source: 0001068875-23-000012 · wf-form4_167348079887976.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,812

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the reporting person.

F2 · balance_after: Not included in this amount are 53,035 performance-based RSUs of which (i) 12,301 are eligible to vest from 0% to 200% following the end of 2021, (ii) 15,184 are eligible to vest from 0% to 200% following the end of 2022 and (iii) 25,550 are eligible to vest from 0% to 200% following the end of 2023. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
January 04, 2023 Filed Jan 5, 2023 19:25 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 3,536 $25.72 $90,945.92
Disclosure

SEC source: 0001068875-23-000002 · wf-form4_167296472897895.xml · nonDerivative · entry 2

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,059

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the reporting person.

F2 · balance_after: Not included in this amount are 50,543 performance-based RSUs of which (i) 10,122 are eligible to vest from 0% to 200% following the end of 2022, (ii) 17,033 are eligible to vest from 0% to 200% following the end of 2023 and (iii) 23,388 are eligible to vest from 0% to 200% following the end of 2024. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
January 03, 2023 Filed Jan 5, 2023 19:25 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 2,843 $25.34 $72,041.62
Disclosure

SEC source: 0001068875-23-000002 · wf-form4_167296472897895.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,595

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the reporting person.

Read SEC document
May 21, 2022 Filed May 24, 2022 16:59 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,786 $16.43 $29,343.98
Disclosure

SEC source: 0001068875-22-000085 · wf-form4_165342594573123.xml · nonDerivative · entry 2

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,438

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable RSU award and were not within the control of the reporting person.

F2 · balance_after: Not included in this amount are 50,543 performance-based RSUs of which (i) 10,122 are eligible to vest from 0% to 200% following the end of 2022, (ii) 17,033 are eligible to vest from 0% to 200% following the end of 2023 and (iii) 23,388 are eligible to vest from 0% to 200% following the end of 2024. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 18:06 UTC AVANTAX, INC. BCOR · Entity 107910 Exercise / conversionStock Options (Right to Buy) · Derivative 10,543 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001068875-22-000046 · wf-form4_164634874142145.xml · derivative · entry 6

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,090

Underlying: Common Stock · 10,543 shares

Expires 2028-01-04

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.

F5 · derivative.exercise_date: The option vests according to the following schedule: one-third vested on January 4, 2022, an additional one-third vests on January 4, 2023, and the remaining one-third will vest on January 4, 2024, such that the option will be fully vested on January 4, 2024.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 18:06 UTC AVANTAX, INC. BCOR · Entity 107910 Exercise / conversionStock Option (Right to Buy) · Derivative 12,710 $0.00 Strike: $11.30 $0.00
Disclosure

SEC source: 0001068875-22-000046 · wf-form4_164634874142145.xml · derivative · entry 5

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,424

Underlying: Common Stock · 12,710 shares

Expires 2027-05-21

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.

F4 · derivative.exercise_date: The option vests according to the following schedule: one-third vested on May 21, 2021, an additional one-third vests on May 21, 2022, and the remaining one-third will vest on May 21, 2023, such that the option will be fully vested on May 21, 2023.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 18:06 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 8,858 $19.64 $173,971.12
Disclosure

SEC source: 0001068875-22-000046 · wf-form4_164634874142145.xml · nonDerivative · entry 4

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,230

F2 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 1,685 shares of common stock on net exercise of option to purchase 10,543 shares of common stock. The reporting person forfeited 8,858 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on March 1, 2022 of $19.64.

F3 · balance_after: Not included in this amount are 50,543 performance-based restricted stock units of which (i) 10,122 are eligible to vest from 0% to 200% following the end of 2022, (ii) 17,033 are eligible to vest from 0% to 200% following the end of 2023 and (iii) 23,388 are eligible to vest from 0% to 200% following the end of 2024. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 18:06 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 9,059 $19.64 $177,918.76
Disclosure

SEC source: 0001068875-22-000046 · wf-form4_164634874142145.xml · nonDerivative · entry 3

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,088

F1 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 3,651 shares of common stock on net exercise of option to purchase 12,710 shares of common stock. The reporting person forfeited 9,059 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on March 1, 2022 of $19.64.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 18:06 UTC AVANTAX, INC. BCOR · Entity 107910 Exercise / conversionCommon Stock 10,543 $15.00 $158,145.00
Disclosure

SEC source: 0001068875-22-000046 · wf-form4_164634874142145.xml · nonDerivative · entry 2

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,147

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.

F2 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 1,685 shares of common stock on net exercise of option to purchase 10,543 shares of common stock. The reporting person forfeited 8,858 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on March 1, 2022 of $19.64.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 18:06 UTC AVANTAX, INC. BCOR · Entity 107910 Exercise / conversionCommon Stock 12,710 $11.30 $143,623.00
Disclosure

SEC source: 0001068875-22-000046 · wf-form4_164634874142145.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,604

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 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 3,651 shares of common stock on net exercise of option to purchase 12,710 shares of common stock. The reporting person forfeited 9,059 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on March 1, 2022 of $19.64.

Read SEC document
January 09, 2022 Filed Jan 11, 2022 16:56 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,247 $16.99 $21,186.53
Disclosure

SEC source: 0001068875-22-000021 · wf-form4_164193815759094.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,894

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the reporting person.

F2 · balance_after: Not included in this amount are 58,635 performance-based restricted stock units of which (i) 8,092 are eligible to vest from 0% to 200% following the end of 2021 and (ii) 10,122 are eligible to vest from 0% to 200% following the end of 2022, (iii) 17,033 are eligible to vest from 0% to 200% following the end of 2023 and (iv) 23,338 are eligible to vest from 0% to 200% following the end of 2024. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
January 04, 2022 Filed Jan 4, 2022 21:25 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 3,788 $17.80 $67,426.40
Disclosure

SEC source: 0001068875-22-000013 · wf-form4_164134953714475.xml · nonDerivative · entry 3

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,141

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the reporting person.

F3 · balance_after: Not included in this amount are 58,635 performance-based RSUs of which (i) 8,092 are eligible to vest from 0% to 200% following the end of 2021 and (ii) 10,122 are eligible to vest from 0% to 200% following the end of 2022, (iii) 17,033 are eligible to vest from 0% to 200% following the end of 2023 and (iv) 23,388 are eligible to vest from 0% to 200% following the end of 2024. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
January 03, 2022 Filed Jan 4, 2022 21:25 UTC AVANTAX, INC. BCOR · Entity 107910 GrantCommon Stock 23,388 $0.00 $0.00
Disclosure

SEC source: 0001068875-22-000013 · wf-form4_164134953714475.xml · nonDerivative · entry 2

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,929

F2 · shares: Reflects a grant of RSUs that was made to the reporting person on January 3, 2022 and that will vest equally over a three-year period on each anniversary of the grant date.

Read SEC document
January 03, 2022 Filed May 24, 2022 16:59 UTC AVANTAX, INC. BCOR · Entity 107910 GiftCommon Stock 3,006 $0.00 $0.00
Disclosure

SEC source: 0001068875-22-000085 · wf-form4_165342594573123.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,224

Read SEC document
January 02, 2022 Filed Jan 4, 2022 21:25 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,160 $17.32 $20,091.20
Disclosure

SEC source: 0001068875-22-000013 · wf-form4_164134953714475.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,541

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the reporting person.

Read SEC document
December 31, 2021 Filed Feb 14, 2022 18:38 UTC AVANTAX, INC. BCOR · Entity 107910 GiftCommon Stock 3,000 $0.00 $0.00
Disclosure

SEC source: 0001068875-22-000033 · wf-form5_164488190330130.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,894

F1 · balance_after: Not included in this amount are 50,543 performance-based restricted stock units of which (i) 10,122 are eligible to vest from 0% to 200% following the end of 2022, (ii) 17,033 are eligible to vest from 0% to 200% following the end of 2023 and (iii) 23,388 are eligible to vest from 0% to 200% following the end of 2024. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
July 08, 2021 Filed Jul 9, 2021 20:19 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,507 $16.54 $24,925.78
Disclosure

SEC source: 0001068875-21-000085 · wf-form4_162587634398234.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,701

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.

F2 · balance_after: Not included in this amount are 35,247 performance-based RSUs of which (i) 8,092 are eligible to vest from 0% to 200% following the end of 2021 and (ii) 10,122 are eligible to vest from 0% to 200% following the end of 2022 and (iii) 17,033 are eligible to vest from 0% to 200% following the end of 2023. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
May 21, 2021 Filed May 25, 2021 17:00 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,468 $16.37 $24,031.16
Disclosure

SEC source: 0001068875-21-000073 · wf-form4_162197640468410.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,208

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable RSU award and were not within the control of the Reporting Person.

F2 · balance_after: Not included in this amount are 35,247 performance-based RSUs of which (i) 8,092 are eligible to vest from 0% to 200% following the end of 2021, (ii) 10,122 are eligible to vest from 0% to 200% following the end of 2022 and (iii) 17,033 are eligible to vest from 0% to 200% following the end of 2023. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
February 20, 2021 Filed Feb 23, 2021 17:43 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,909 $16.18 $30,887.62
Disclosure

SEC source: 0001068875-21-000042 · wf-form4_161412017726795.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,676

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable RSU award agreement and were not within the control of the Reporting Person.

F2 · balance_after: Not included in this amount are 35,247 performance-based restricted stock units of which (i) 8,092 are eligible to vest from 0% to 200% following the end of 2021, (ii) 10,122 are eligible to vest from 0% to 200% following the end of 2022 and (iii) 17,033 are eligible to vest from 0% to 200% following the end of 2023. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
January 09, 2021 Filed Jan 12, 2021 17:07 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,721 $16.05 $27,622.05
Disclosure

SEC source: 0001068875-21-000025 · wf-form4_161048926074039.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,585

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable RSU award and were not within the control of the reporting person.

F2 · balance_after: Not included in this amount are 44,101 performance-based RSUs of which (i) 8,854 are eligible to vest from 0% to 200% following the end of 2020, (ii) 8,092 are eligible to vest from 0% to 200% following the end of 2021, (iii) 10,122 are eligible to vest from 0% to 200% following the end of 2022 and (iv) 17,033 are eligible to vest from 0% to 200% following the end of 2023. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 18:02 UTC AVANTAX, INC. BCOR · Entity 107910 GrantStock Options (Right to Buy) · Derivative 31,633 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001068875-21-000009 · wf-form4_160988773528299.xml · derivative · entry 3

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,633

Underlying: Common Stock · 31,633 shares

Expires 2028-01-04

F4 · derivative.exercise_date: Reflects a grant of a non-qualified stock option that was made to the reporting person on January 4, 2021 and that will vest equally over a three-year period on each anniversary of the grant date.

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January 04, 2021 Filed Jan 5, 2021 18:02 UTC AVANTAX, INC. BCOR · Entity 107910 GrantCommon Stock 32,799 $0.00 $0.00
Disclosure

SEC source: 0001068875-21-000009 · wf-form4_160988773528299.xml · nonDerivative · entry 2

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,306

F2 · shares: Reflects a grant of RSUs that was made to the reporting person on January 4, 2021 and that will vest equally over a three-year period on each anniversary of the grant date.

F3 · balance_after: Not included in this amount are 44,101 performance-based RSUs of which (i) 8,854 are eligible to vest from 0% to 200% following the end of 2020, (ii) 8,092 are eligible to vest from 0% to 200% following the end of 2021, (iii) 10,122 are eligible to vest from 0% to 200% following the end of 2022 and (iv) 17,033 are eligible to vest from 0% to 200% following the end of 2023. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

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January 02, 2021 Filed Jan 5, 2021 18:02 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,376 $15.19 $20,901.44
Disclosure

SEC source: 0001068875-21-000009 · wf-form4_160988773528299.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,507

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable RSU award and were not within the control of the reporting person.

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June 19, 2020 Filed Jun 24, 2020 17:06 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,057 $11.68 $12,345.76
Disclosure

SEC source: 0001068875-20-000125 · wf-form4_159303276945542.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,883

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.

F2 · balance_after: Not included in this amount are 27,068 performance-based restricted stock units of which (i) 8,854 are eligible to vest from 0% to 200% following the end of 2020, (ii) 8,092 are eligible to vest from 0% to 200% following the end of 2021 and (iii) 10,122 are eligible to vest from 0% to 200% following the end of 2022. Vesting for each award is subject to the issuers achievement of certain financial goals and certification by the Compensation Committee.

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May 21, 2020 Filed May 26, 2020 17:07 UTC AVANTAX, INC. BCOR · Entity 107910 GrantStock Option (Right to Buy) · Derivative 38,134 $0.00 Strike: $11.30 $0.00
Disclosure

SEC source: 0001068875-20-000111 · wf-form4_159052720769093.xml · derivative · entry 4

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,134

Underlying: Common Stock · 38,134 shares

Expires 2027-05-21

F5 · derivative.exercise_date: Reflects a one-time non-qualified option grant that was made to the Reporting Person on May 21, 2020. The option vests according to the following schedule: one-third vests on May 21, 2021, an additional one-third vests on May 21, 2022, and the remaining one-third will vest on May 21, 2023, such that the option will be fully vested on May 21, 2023.

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May 21, 2020 Filed May 26, 2020 17:07 UTC AVANTAX, INC. BCOR · Entity 107910 GrantCommon Stock 13,619 $0.00 $0.00
Disclosure

SEC source: 0001068875-20-000111 · wf-form4_159052720769093.xml · nonDerivative · entry 3

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,940

F3 · shares: Reflects a one-time RSU grant that was made to the Reporting Person on May 21, 2020 that will vest equally over a three-year period on each anniversary of the grant date.

F4 · balance_after: Not included in this amount are 27,068 performance-based RSUs of which (i) 8,854 are eligible to vest from 0% to 200% following the end of 2020, (ii) 8,092 are eligible to vest from 0% to 200% following the end of 2021 and (iii) 10,122 are eligible to vest from 0% to 200% following the end of 2022. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

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May 21, 2020 Filed May 26, 2020 17:07 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,624 $11.30 $18,351.20
Disclosure

SEC source: 0001068875-20-000111 · wf-form4_159052720769093.xml · nonDerivative · entry 2

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,321

F2 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of RSUs. The timing and amount of the transaction was determined by the terms of the applicable RSU award and were not within the control of the Reporting Person.

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May 21, 2020 Filed May 26, 2020 17:07 UTC AVANTAX, INC. BCOR · Entity 107910 GrantCommon Stock 8,259 $0.00 $0.00
Disclosure

SEC source: 0001068875-20-000111 · wf-form4_159052720769093.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,945

F1 · shares: On May 6, 2019, the Reporting Person was granted 8,259 performance-based restricted stock units ("RSUs") which vest following a one-year performance period based on the Issuer's satisfaction of certain performance criteria, with 50% of the awarded RSUs to be released on the vesting date and 50% of the awarded RSUs to be released on May 6, 2021. The performance criteria were met, resulting in the release of 4,129 shares of common stock. The remaining 4,130 RSUs will be released on May 6, 2021.

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February 20, 2020 Filed Feb 24, 2020 20:00 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 2,322 $22.47 $52,175.34
Disclosure

SEC source: 0001068875-20-000047 · wf-form4_158259241773370.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,686

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.

F2 · balance_after: Not included in this amount are 35,327 performance-based restricted stock units of which (i) 8,259 are eligible to vest following May 6, 2020, (ii) 8,854 are eligible to vest from 0% to 200% following the end of 2020, (iii) 8,092 are eligible to vest from 0% to 200% following the end of 2021 and (iv) 10,122 are eligible to vest from 0% to 200% following the end of 2022. Vesting for each award is subject to the issuers achievement of certain financial goals and certification by the Compensation Committee.

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January 09, 2020 Filed Jan 13, 2020 17:52 UTC AVANTAX, INC. BCOR · Entity 107910 GrantStock Option (Right to Buy) · Derivative 22,414 $0.00 Strike: $25.24 $0.00
Disclosure

SEC source: 0001068875-20-000027 · wf-form4_157895595389150.xml · derivative · entry 2

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,414

Underlying: Common Stock · 22,414 shares

Expires 2027-01-09

F3 · derivative.exercise_date: Reflects a non-qualified option grant that was made to the reporting person on January 9, 2020. The option vests according to the following schedule: one-third vests on January 9, 2021, an additional one-third vests on January 9, 2022, and the remaining one-third will vest on January 9, 2023, such that the option will be fully vested on January 9, 2023.

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January 09, 2020 Filed Jan 13, 2020 17:52 UTC AVANTAX, INC. BCOR · Entity 107910 GrantCommon Stock 11,568 $0.00 $0.00
Disclosure

SEC source: 0001068875-20-000027 · wf-form4_157895595389150.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,008

F1 · shares: Reflects a restricted stock unit grant ("RSUs") that was made to the reporting person on January 9, 2020 and that will vest equally over a three-year period on each anniversary of the grant date.

F2 · balance_after: Not included in this amount are 35,327 performance-based restricted stock units of which (i) 8,259 are eligible to vest following May 6, 2020, (ii) 8,854 are eligible to vest from 0% to 200% following the end of 2020, (iii) 8,092 are eligible to vest from 0% to 200% following the end of 2021 and (iv) 10,122 are eligible to vest from 0% to 200% following the end of 2022. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

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January 02, 2020 Filed Jan 6, 2020 17:22 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,376 $26.00 $35,776.00
Disclosure

SEC source: 0001068875-20-000014 · wf-form4_157834931445771.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,440

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.

F2 · balance_after: Not included in this amount are 25,205 performance-based restricted stock units of which (i) 8,259 are eligible to vest following May 6, 2020, (ii) 8,854 are eligible to vest from 0% to 200% following the end of 2020 and (iii) 8,092 are eligible to vest from 0% to 200% following the end of 2021. Vesting is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

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December 19, 2019 Filed Dec 20, 2019 18:17 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,057 $25.10 $26,530.70
Disclosure

SEC source: 0001068875-19-000128 · wf-form4_157688384316892.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,816

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.

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June 19, 2019 Filed Jun 21, 2019 16:13 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,058 $30.94 $32,734.52
Disclosure

SEC source: 0001068875-19-000056 · wf-form4_156114796765288.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,873

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.

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May 02, 2019 Filed May 3, 2019 16:45 UTC AVANTAX, INC. BCOR · Entity 107910 Exercise / conversionStock Option (Right to Buy) · Derivative 3,000 $0.00 Strike: $21.70 $0.00
Disclosure

SEC source: 0001470091-19-000005 · wf-form4_155691634374999.xml · derivative · entry 3

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,409

Underlying: Common Stock · 3,000 shares

Expires 2024-06-19

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.

F2 · derivative.exercise_date: 33.33% of the stock option grant vested on June 19, 2018, and approximately 16.67% of the grant will vest at the end of each six month period thereafter with the final vesting date to occur on June 19, 2020.

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May 02, 2019 Filed May 3, 2019 16:45 UTC AVANTAX, INC. BCOR · Entity 107910 SaleCommon Stock 5,600 $35.00 $196,000.00
Disclosure

SEC source: 0001470091-19-000005 · wf-form4_155691634374999.xml · nonDerivative · entry 2

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,931

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2018.

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May 02, 2019 Filed May 3, 2019 16:45 UTC AVANTAX, INC. BCOR · Entity 107910 Exercise / conversionCommon Stock 3,000 $21.70 $65,100.00
Disclosure

SEC source: 0001470091-19-000005 · wf-form4_155691634374999.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,531

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.

Read SEC document
February 20, 2019 Filed Feb 21, 2019 18:09 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 2,322 $27.48 $63,808.56
Disclosure

SEC source: 0001470091-19-000004 · wf-form4_155079056116300.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,531

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.

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January 02, 2019 Filed Jan 4, 2019 16:25 UTC AVANTAX, INC. BCOR · Entity 107910 GrantStock Option (Right to Buy) · Derivative 17,919 $0.00 Strike: $27.03 $0.00
Disclosure

SEC source: 0001470091-19-000002 · wf-form4_154663712488121.xml · derivative · entry 2

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,919

Underlying: Common Stock · 17,919 shares

Expires 2026-01-02

F3 · derivative.exercise_date: The option vests according to the following schedule: one-third vests on January 2, 2020, an additional one-third vest on January 2, 2021, and the remaining one-third will vest on January 2, 2022, such that the option will be fully vested on January 2, 2022.

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January 02, 2019 Filed Jan 4, 2019 16:25 UTC AVANTAX, INC. BCOR · Entity 107910 GrantCommon Stock 9,248 $0.00 $0.00
Disclosure

SEC source: 0001470091-19-000002 · wf-form4_154663712488121.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,853

F1 · shares: Reflects a grant of restricted stock units ("RSUs") that was made to the reporting person on January 2, 2019 and that will vest equally over a three-year period on each anniversary of the grant date.

F2 · balance_after: Not included in this amount are 8,092 performance-based restricted stock units, of which from 0% to 200% are eligible to vest following the end of the 2021 fiscal year subject to the Issuer's achievement of certain financial goals over a three-year period and certification by the Compensation Committee.

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December 19, 2018 Filed Dec 21, 2018 16:07 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 1,058 $25.88 $27,381.04
Disclosure

SEC source: 0001470091-18-000005 · wf-form4_154542640573480.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,605

F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.

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June 19, 2018 Filed Jun 20, 2018 16:33 UTC AVANTAX, INC. BCOR · Entity 107910 Exercise / conversionStock Option (Right to Buy) · Derivative 17,203 $0.00 Strike: $21.70 $0.00
Disclosure

SEC source: 0001470091-18-000003 · wf-form4_152952678386260.xml · derivative · entry 4

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,409

Underlying: Common Stock · 17,203 shares

Expires 2024-06-19

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.

F3 · derivative.exercise_date: 33.33% of the stock option grant vested on June 19, 2018, and approximately 16.67% of the grant will vest at the end of each six month period thereafter with the final vesting date to occur on June 19, 2020.

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June 19, 2018 Filed Jun 20, 2018 16:33 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 2,008 $39.35 $79,014.80
Disclosure

SEC source: 0001470091-18-000003 · wf-form4_152952678386260.xml · nonDerivative · entry 3

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,663

F2 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.

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June 19, 2018 Filed Jun 20, 2018 16:33 UTC AVANTAX, INC. BCOR · Entity 107910 Tax withholdingCommon Stock 12,369 $39.35 $486,720.15
Disclosure

SEC source: 0001470091-18-000003 · wf-form4_152952678386260.xml · nonDerivative · entry 2

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,671

F1 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 4,834 shares of common stock on net exercise of options to purchase 17,203 shares of common stock. The reporting person forfeited 12,369 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on June 19, 2018 of $39.35.

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June 19, 2018 Filed Jun 20, 2018 16:33 UTC AVANTAX, INC. BCOR · Entity 107910 Exercise / conversionCommon Stock 17,203 $21.70 $373,305.10
Disclosure

SEC source: 0001470091-18-000003 · wf-form4_152952678386260.xml · nonDerivative · entry 1

BRUDER ANN J. · CIK 0001470091 · Chief Legal Officer & Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,040

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 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 4,834 shares of common stock on net exercise of options to purchase 17,203 shares of common stock. The reporting person forfeited 12,369 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on June 19, 2018 of $39.35.

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