Home/Filings/4/0000899243-18-017218

4//SEC Filing

WARBURG PINCUS & CO. 4

Accession 0000899243-18-017218

CIK 0001348036other

View on SEC.gov Company Profile

Filed

Jun 18, 8:00 PM ET

Accepted

Jun 19, 6:34 PM ET

Size

67.2 KB

Accession

0000899243-18-017218

Insider Transaction Report

Form 4

Period: 2018-06-19

AVALARA INCAVLR

WARBURG PINCUS & CO

10% Owner

Transactions

Conversion
Common Stock
2018-06-19+39,335→ 1,320,483 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+2,070→ 69,489 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+44,005→ 1,387,302 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+8,643,195→ 10,030,497 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−4,140→ 0 total(indirect: See Footnotes)
→ Common Stock (2,070 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−909,810→ 0 total(indirect: See Footnotes)
→ Common Stock (454,904 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−340,158→ 0 total(indirect: See Footnotes)
→ Common Stock (170,078 underlying)
Conversion
Common Stock
2018-06-19+22,814→ 1,343,297 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+1,200→ 70,689 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+454,904→ 527,909 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−78,670→ 0 total(indirect: See Footnotes)
→ Common Stock (39,335 underlying)
Conversion
Series D Preferred Stock
2018-06-19−88,011→ 0 total(indirect: See Footnotes)
→ Common Stock (44,005 underlying)
Conversion
Common Stock
2018-06-19+3,231,505→ 13,262,002 total(indirect: See Footnotes)
Conversion
Series B Preferred Stock
2018-06-19−2,401→ 0 total(indirect: See Footnotes)
→ Common Stock (1,200 underlying)
Conversion
Series D Preferred Stock
2018-06-19−4,632→ 0 total(indirect: See Footnotes)
→ Common Stock (2,316 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−6,463,011→ 0 total(indirect: See Footnotes)
→ Common Stock (3,231,505 underlying)
Conversion
Common Stock
2018-06-19+2,316→ 73,005 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+170,078→ 697,987 total(indirect: See Footnotes)
Conversion
Series B Preferred Stock
2018-06-19−45,629→ 0 total(indirect: See Footnotes)
→ Common Stock (22,814 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−17,286,391→ 0 total(indirect: See Footnotes)
→ Common Stock (8,643,195 underlying)

Warburg Pincus Private Equity XI, L.P.

10% Owner

Transactions

Conversion
Common Stock
2018-06-19+2,070→ 69,489 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+454,904→ 527,909 total(indirect: See Footnotes)
Conversion
Series D Preferred Stock
2018-06-19−4,632→ 0 total(indirect: See Footnotes)
→ Common Stock (2,316 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−340,158→ 0 total(indirect: See Footnotes)
→ Common Stock (170,078 underlying)
Conversion
Common Stock
2018-06-19+1,200→ 70,689 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−78,670→ 0 total(indirect: See Footnotes)
→ Common Stock (39,335 underlying)
Conversion
Series B Preferred Stock
2018-06-19−2,401→ 0 total(indirect: See Footnotes)
→ Common Stock (1,200 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−17,286,391→ 0 total(indirect: See Footnotes)
→ Common Stock (8,643,195 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−6,463,011→ 0 total(indirect: See Footnotes)
→ Common Stock (3,231,505 underlying)
Conversion
Common Stock
2018-06-19+44,005→ 1,387,302 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+3,231,505→ 13,262,002 total(indirect: See Footnotes)
Conversion
Series D-1 Preferred Stock
2018-06-19−909,810→ 0 total(indirect: See Footnotes)
→ Common Stock (454,904 underlying)
Conversion
Common Stock
2018-06-19+22,814→ 1,343,297 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+8,643,195→ 10,030,497 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+170,078→ 697,987 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−4,140→ 0 total(indirect: See Footnotes)
→ Common Stock (2,070 underlying)
Conversion
Series B Preferred Stock
2018-06-19−45,629→ 0 total(indirect: See Footnotes)
→ Common Stock (22,814 underlying)
Conversion
Series D Preferred Stock
2018-06-19−88,011→ 0 total(indirect: See Footnotes)
→ Common Stock (44,005 underlying)
Conversion
Common Stock
2018-06-19+39,335→ 1,320,483 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+2,316→ 73,005 total(indirect: See Footnotes)

WPXI Finance, LP

10% Owner

Transactions

Conversion
Series D Preferred Stock
2018-06-19−4,632→ 0 total(indirect: See Footnotes)
→ Common Stock (2,316 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−340,158→ 0 total(indirect: See Footnotes)
→ Common Stock (170,078 underlying)
Conversion
Common Stock
2018-06-19+2,316→ 73,005 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+454,904→ 527,909 total(indirect: See Footnotes)
Conversion
Series D-1 Preferred Stock
2018-06-19−909,810→ 0 total(indirect: See Footnotes)
→ Common Stock (454,904 underlying)
Conversion
Common Stock
2018-06-19+22,814→ 1,343,297 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+44,005→ 1,387,302 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+39,335→ 1,320,483 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+1,200→ 70,689 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+8,643,195→ 10,030,497 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+170,078→ 697,987 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−4,140→ 0 total(indirect: See Footnotes)
→ Common Stock (2,070 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−17,286,391→ 0 total(indirect: See Footnotes)
→ Common Stock (8,643,195 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−6,463,011→ 0 total(indirect: See Footnotes)
→ Common Stock (3,231,505 underlying)
Conversion
Common Stock
2018-06-19+2,070→ 69,489 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+3,231,505→ 13,262,002 total(indirect: See Footnotes)
Conversion
Series B Preferred Stock
2018-06-19−45,629→ 0 total(indirect: See Footnotes)
→ Common Stock (22,814 underlying)
Conversion
Series B Preferred Stock
2018-06-19−2,401→ 0 total(indirect: See Footnotes)
→ Common Stock (1,200 underlying)
Conversion
Series A-1 Preferred Stock
2018-06-19−78,670→ 0 total(indirect: See Footnotes)
→ Common Stock (39,335 underlying)
Conversion
Series D Preferred Stock
2018-06-19−88,011→ 0 total(indirect: See Footnotes)
→ Common Stock (44,005 underlying)

Warburg Pincus XI Partners, L.P.

10% Owner

Transactions

Conversion
Common Stock
2018-06-19+454,904→ 527,909 total(indirect: See Footnotes)
Conversion
Series D-2 Preferred Stock
2018-06-19−340,158→ 0 total(indirect: See Footnotes)
→ Common Stock (170,078 underlying)
Conversion
Common Stock
2018-06-19+3,231,505→ 13,262,002 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−4,140→ 0 total(indirect: See Footnotes)
→ Common Stock (2,070 underlying)
Conversion
Series A-1 Preferred Stock
2018-06-19−78,670→ 0 total(indirect: See Footnotes)
→ Common Stock (39,335 underlying)
Conversion
Series B Preferred Stock
2018-06-19−2,401→ 0 total(indirect: See Footnotes)
→ Common Stock (1,200 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−17,286,391→ 0 total(indirect: See Footnotes)
→ Common Stock (8,643,195 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−6,463,011→ 0 total(indirect: See Footnotes)
→ Common Stock (3,231,505 underlying)
Conversion
Common Stock
2018-06-19+2,070→ 69,489 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+39,335→ 1,320,483 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+22,814→ 1,343,297 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+44,005→ 1,387,302 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+8,643,195→ 10,030,497 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+170,078→ 697,987 total(indirect: See Footnotes)
Conversion
Series B Preferred Stock
2018-06-19−45,629→ 0 total(indirect: See Footnotes)
→ Common Stock (22,814 underlying)
Conversion
Series D Preferred Stock
2018-06-19−4,632→ 0 total(indirect: See Footnotes)
→ Common Stock (2,316 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−909,810→ 0 total(indirect: See Footnotes)
→ Common Stock (454,904 underlying)
Conversion
Common Stock
2018-06-19+1,200→ 70,689 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+2,316→ 73,005 total(indirect: See Footnotes)
Conversion
Series D Preferred Stock
2018-06-19−88,011→ 0 total(indirect: See Footnotes)
→ Common Stock (44,005 underlying)

WPXI GP, L.P.

10% Owner

Transactions

Conversion
Common Stock
2018-06-19+39,335→ 1,320,483 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+454,904→ 527,909 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+170,078→ 697,987 total(indirect: See Footnotes)
Conversion
Series B Preferred Stock
2018-06-19−2,401→ 0 total(indirect: See Footnotes)
→ Common Stock (1,200 underlying)
Conversion
Series D Preferred Stock
2018-06-19−4,632→ 0 total(indirect: See Footnotes)
→ Common Stock (2,316 underlying)
Conversion
Common Stock
2018-06-19+22,814→ 1,343,297 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+8,643,195→ 10,030,497 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−4,140→ 0 total(indirect: See Footnotes)
→ Common Stock (2,070 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−17,286,391→ 0 total(indirect: See Footnotes)
→ Common Stock (8,643,195 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−6,463,011→ 0 total(indirect: See Footnotes)
→ Common Stock (3,231,505 underlying)
Conversion
Common Stock
2018-06-19+2,070→ 69,489 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+1,200→ 70,689 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+44,005→ 1,387,302 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+3,231,505→ 13,262,002 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−78,670→ 0 total(indirect: See Footnotes)
→ Common Stock (39,335 underlying)
Conversion
Series B Preferred Stock
2018-06-19−45,629→ 0 total(indirect: See Footnotes)
→ Common Stock (22,814 underlying)
Conversion
Series D Preferred Stock
2018-06-19−88,011→ 0 total(indirect: See Footnotes)
→ Common Stock (44,005 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−909,810→ 0 total(indirect: See Footnotes)
→ Common Stock (454,904 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−340,158→ 0 total(indirect: See Footnotes)
→ Common Stock (170,078 underlying)
Conversion
Common Stock
2018-06-19+2,316→ 73,005 total(indirect: See Footnotes)

WP Global LLC

10% Owner

Transactions

Conversion
Common Stock
2018-06-19+2,070→ 69,489 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+454,904→ 527,909 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−78,670→ 0 total(indirect: See Footnotes)
→ Common Stock (39,335 underlying)
Conversion
Series B Preferred Stock
2018-06-19−45,629→ 0 total(indirect: See Footnotes)
→ Common Stock (22,814 underlying)
Conversion
Common Stock
2018-06-19+39,335→ 1,320,483 total(indirect: See Footnotes)
Conversion
Series D Preferred Stock
2018-06-19−88,011→ 0 total(indirect: See Footnotes)
→ Common Stock (44,005 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−17,286,391→ 0 total(indirect: See Footnotes)
→ Common Stock (8,643,195 underlying)
Conversion
Common Stock
2018-06-19+22,814→ 1,343,297 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+170,078→ 697,987 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+1,200→ 70,689 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+44,005→ 1,387,302 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+8,643,195→ 10,030,497 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−4,140→ 0 total(indirect: See Footnotes)
→ Common Stock (2,070 underlying)
Conversion
Series B Preferred Stock
2018-06-19−2,401→ 0 total(indirect: See Footnotes)
→ Common Stock (1,200 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−340,158→ 0 total(indirect: See Footnotes)
→ Common Stock (170,078 underlying)
Conversion
Common Stock
2018-06-19+2,316→ 73,005 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+3,231,505→ 13,262,002 total(indirect: See Footnotes)
Conversion
Series D Preferred Stock
2018-06-19−4,632→ 0 total(indirect: See Footnotes)
→ Common Stock (2,316 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−909,810→ 0 total(indirect: See Footnotes)
→ Common Stock (454,904 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−6,463,011→ 0 total(indirect: See Footnotes)
→ Common Stock (3,231,505 underlying)

Warburg Pincus Partners II, L.P.

10% Owner

Transactions

Conversion
Common Stock
2018-06-19+1,200→ 70,689 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+22,814→ 1,343,297 total(indirect: See Footnotes)
Conversion
Series B Preferred Stock
2018-06-19−45,629→ 0 total(indirect: See Footnotes)
→ Common Stock (22,814 underlying)
Conversion
Series D Preferred Stock
2018-06-19−4,632→ 0 total(indirect: See Footnotes)
→ Common Stock (2,316 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−6,463,011→ 0 total(indirect: See Footnotes)
→ Common Stock (3,231,505 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−17,286,391→ 0 total(indirect: See Footnotes)
→ Common Stock (8,643,195 underlying)
Conversion
Common Stock
2018-06-19+2,070→ 69,489 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+44,005→ 1,387,302 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−78,670→ 0 total(indirect: See Footnotes)
→ Common Stock (39,335 underlying)
Conversion
Series B Preferred Stock
2018-06-19−2,401→ 0 total(indirect: See Footnotes)
→ Common Stock (1,200 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−909,810→ 0 total(indirect: See Footnotes)
→ Common Stock (454,904 underlying)
Conversion
Common Stock
2018-06-19+39,335→ 1,320,483 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+454,904→ 527,909 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+170,078→ 697,987 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−4,140→ 0 total(indirect: See Footnotes)
→ Common Stock (2,070 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−340,158→ 0 total(indirect: See Footnotes)
→ Common Stock (170,078 underlying)
Conversion
Common Stock
2018-06-19+2,316→ 73,005 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+8,643,195→ 10,030,497 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+3,231,505→ 13,262,002 total(indirect: See Footnotes)
Conversion
Series D Preferred Stock
2018-06-19−88,011→ 0 total(indirect: See Footnotes)
→ Common Stock (44,005 underlying)

Warburg Pincus XI, L.P.

10% Owner

Transactions

Conversion
Series A-1 Preferred Stock
2018-06-19−78,670→ 0 total(indirect: See Footnotes)
→ Common Stock (39,335 underlying)
Conversion
Series B Preferred Stock
2018-06-19−45,629→ 0 total(indirect: See Footnotes)
→ Common Stock (22,814 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−909,810→ 0 total(indirect: See Footnotes)
→ Common Stock (454,904 underlying)
Conversion
Common Stock
2018-06-19+39,335→ 1,320,483 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+2,316→ 73,005 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+454,904→ 527,909 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+170,078→ 697,987 total(indirect: See Footnotes)
Conversion
Series D Preferred Stock
2018-06-19−88,011→ 0 total(indirect: See Footnotes)
→ Common Stock (44,005 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−17,286,391→ 0 total(indirect: See Footnotes)
→ Common Stock (8,643,195 underlying)
Conversion
Common Stock
2018-06-19+8,643,195→ 10,030,497 total(indirect: See Footnotes)
Conversion
Series D-2 Preferred Stock
2018-06-19−6,463,011→ 0 total(indirect: See Footnotes)
→ Common Stock (3,231,505 underlying)
Conversion
Common Stock
2018-06-19+2,070→ 69,489 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+44,005→ 1,387,302 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−4,140→ 0 total(indirect: See Footnotes)
→ Common Stock (2,070 underlying)
Conversion
Series B Preferred Stock
2018-06-19−2,401→ 0 total(indirect: See Footnotes)
→ Common Stock (1,200 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−340,158→ 0 total(indirect: See Footnotes)
→ Common Stock (170,078 underlying)
Conversion
Common Stock
2018-06-19+22,814→ 1,343,297 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+1,200→ 70,689 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+3,231,505→ 13,262,002 total(indirect: See Footnotes)
Conversion
Series D Preferred Stock
2018-06-19−4,632→ 0 total(indirect: See Footnotes)
→ Common Stock (2,316 underlying)

Warburg Pincus Partners GP LLC

10% Owner

Transactions

Conversion
Common Stock
2018-06-19+2,316→ 73,005 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−78,670→ 0 total(indirect: See Footnotes)
→ Common Stock (39,335 underlying)
Conversion
Common Stock
2018-06-19+2,070→ 69,489 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+39,335→ 1,320,483 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+44,005→ 1,387,302 total(indirect: See Footnotes)
Conversion
Series B Preferred Stock
2018-06-19−2,401→ 0 total(indirect: See Footnotes)
→ Common Stock (1,200 underlying)
Conversion
Common Stock
2018-06-19+22,814→ 1,343,297 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−4,140→ 0 total(indirect: See Footnotes)
→ Common Stock (2,070 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−909,810→ 0 total(indirect: See Footnotes)
→ Common Stock (454,904 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−6,463,011→ 0 total(indirect: See Footnotes)
→ Common Stock (3,231,505 underlying)
Conversion
Common Stock
2018-06-19+1,200→ 70,689 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+8,643,195→ 10,030,497 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+454,904→ 527,909 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+3,231,505→ 13,262,002 total(indirect: See Footnotes)
Conversion
Series B Preferred Stock
2018-06-19−45,629→ 0 total(indirect: See Footnotes)
→ Common Stock (22,814 underlying)
Conversion
Series D Preferred Stock
2018-06-19−88,011→ 0 total(indirect: See Footnotes)
→ Common Stock (44,005 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−17,286,391→ 0 total(indirect: See Footnotes)
→ Common Stock (8,643,195 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−340,158→ 0 total(indirect: See Footnotes)
→ Common Stock (170,078 underlying)
Conversion
Common Stock
2018-06-19+170,078→ 697,987 total(indirect: See Footnotes)
Conversion
Series D Preferred Stock
2018-06-19−4,632→ 0 total(indirect: See Footnotes)
→ Common Stock (2,316 underlying)

WARBURG PINCUS LLC

10% Owner

Transactions

Conversion
Common Stock
2018-06-19+39,335→ 1,320,483 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+2,316→ 73,005 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+1,200→ 70,689 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+3,231,505→ 13,262,002 total(indirect: See Footnotes)
Conversion
Series D Preferred Stock
2018-06-19−4,632→ 0 total(indirect: See Footnotes)
→ Common Stock (2,316 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−340,158→ 0 total(indirect: See Footnotes)
→ Common Stock (170,078 underlying)
Conversion
Common Stock
2018-06-19+8,643,195→ 10,030,497 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+170,078→ 697,987 total(indirect: See Footnotes)
Conversion
Series B Preferred Stock
2018-06-19−45,629→ 0 total(indirect: See Footnotes)
→ Common Stock (22,814 underlying)
Conversion
Common Stock
2018-06-19+2,070→ 69,489 total(indirect: See Footnotes)
Conversion
Series D Preferred Stock
2018-06-19−88,011→ 0 total(indirect: See Footnotes)
→ Common Stock (44,005 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−909,810→ 0 total(indirect: See Footnotes)
→ Common Stock (454,904 underlying)
Conversion
Common Stock
2018-06-19+22,814→ 1,343,297 total(indirect: See Footnotes)
Conversion
Common Stock
2018-06-19+44,005→ 1,387,302 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−78,670→ 0 total(indirect: See Footnotes)
→ Common Stock (39,335 underlying)
Conversion
Common Stock
2018-06-19+454,904→ 527,909 total(indirect: See Footnotes)
Conversion
Series A-1 Preferred Stock
2018-06-19−4,140→ 0 total(indirect: See Footnotes)
→ Common Stock (2,070 underlying)
Conversion
Series B Preferred Stock
2018-06-19−2,401→ 0 total(indirect: See Footnotes)
→ Common Stock (1,200 underlying)
Conversion
Series D-1 Preferred Stock
2018-06-19−17,286,391→ 0 total(indirect: See Footnotes)
→ Common Stock (8,643,195 underlying)
Conversion
Series D-2 Preferred Stock
2018-06-19−6,463,011→ 0 total(indirect: See Footnotes)
→ Common Stock (3,231,505 underlying)

Footnotes (5)

[F1]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]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](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]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.
[F5]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.

Documents

2 files

Issuer

AVALARA INC

CIK 0001348036

→

Entity typeother

IncorporatedNY

Related Parties

filerCIK 0000929408

Filing Metadata

Form type: 4
Filed: Jun 18, 8:00 PM ET
Accepted: Jun 19, 6:34 PM ET
Size: 67.2 KB

View on SEC.gov