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4//SEC Filing

GILHULY EDWARD A 4

Accession 0000899243-18-017230

CIK 0001348036other
View on SEC.govCompany Profile

Filed

Jun 18, 8:00 PM ET

Accepted

Jun 19, 6:42 PM ET

Size

73.9 KB

Accession

0000899243-18-017230

Insider Transaction Report

Form 4
Period: 2018-01-24
AVALARA INCAVLR
GILHULY EDWARD A
Director10% Owner
Transactions
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−3,314,815→ 0 total(indirect: See Footnotes)
    → Common Stock (1,657,407 underlying)
  • Award

    Warrant (right to buy)

    2018-01-24+10,000→ 10,000 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Other

    Warrant (right to buy)

    2018-02-08+10,000→ 10,000 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Conversion

    Series B-1 Preferred Stock

    2018-06-19−18,181,793→ 0 total(indirect: See Footnotes)
    → Common Stock (9,090,896 underlying)
  • Conversion

    Common Stock

    2018-06-19+77,777→ 77,777 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+2,440,345→ 11,609,018 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+1,210,255→ 12,819,273 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+935,185→ 935,185 total(indirect: See Footnotes)
  • Other

    Warrant (right to buy)

    2018-02-08−10,000→ 0 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.20→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$4.50/sh+10,000$45,000→ 25,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$9.72/sh+10,000$97,200→ 35,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.20/sh+10,000$122,000→ 45,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+9,090,896→ 9,168,673 total(indirect: See Footnotes)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−1,870,370→ 0 total(indirect: See Footnotes)
    → Common Stock (935,185 underlying)
  • Conversion

    Series D Preferred Stock

    2018-06-19−2,420,511→ 0 total(indirect: See Footnotes)
    → Common Stock (1,210,255 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.60/sh+10,000$126,000→ 55,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$13.84/sh+10,000$138,400→ 65,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$16.60/sh+10,000$166,000→ 75,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.60→ Common Stock (10,000 underlying)
  • Conversion

    Series C-1 Preferred Stock

    2018-06-19−4,880,690→ 0 total(indirect: See Footnotes)
    → Common Stock (2,440,345 underlying)
  • Conversion

    Common Stock

    2018-06-19+1,657,407→ 1,657,407 total(indirect: See Footnotes)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $4.50→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $9.72→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $13.84→ Common Stock (10,000 underlying)
  • Conversion

    Series A Preferred Stock

    2018-06-19−155,555→ 0 total(indirect: See Footnotes)
    → Common Stock (77,777 underlying)
Sageview Capital GenPar, LP
10% Owner
Transactions
  • Exercise of In-Money

    Common Stock

    2018-06-07$4.50/sh+10,000$45,000→ 25,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$16.60/sh+10,000$166,000→ 75,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+1,210,255→ 12,819,273 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.20/sh+10,000$122,000→ 45,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+2,440,345→ 11,609,018 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+935,185→ 935,185 total(indirect: See Footnotes)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $4.50→ Common Stock (10,000 underlying)
  • Conversion

    Series D Preferred Stock

    2018-06-19−2,420,511→ 0 total(indirect: See Footnotes)
    → Common Stock (1,210,255 underlying)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−3,314,815→ 0 total(indirect: See Footnotes)
    → Common Stock (1,657,407 underlying)
  • Conversion

    Common Stock

    2018-06-19+9,090,896→ 9,168,673 total(indirect: See Footnotes)
  • Award

    Warrant (right to buy)

    2018-01-24+10,000→ 10,000 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Other

    Warrant (right to buy)

    2018-02-08+10,000→ 10,000 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.20→ Common Stock (10,000 underlying)
  • Conversion

    Series B-1 Preferred Stock

    2018-06-19−18,181,793→ 0 total(indirect: See Footnotes)
    → Common Stock (9,090,896 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$9.72/sh+10,000$97,200→ 35,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+1,657,407→ 1,657,407 total(indirect: See Footnotes)
  • Other

    Warrant (right to buy)

    2018-02-08−10,000→ 0 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−1,870,370→ 0 total(indirect: See Footnotes)
    → Common Stock (935,185 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.60/sh+10,000$126,000→ 55,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$13.84/sh+10,000$138,400→ 65,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+77,777→ 77,777 total(indirect: See Footnotes)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $13.84→ Common Stock (10,000 underlying)
  • Conversion

    Series A Preferred Stock

    2018-06-19−155,555→ 0 total(indirect: See Footnotes)
    → Common Stock (77,777 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $9.72→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Conversion

    Series C-1 Preferred Stock

    2018-06-19−4,880,690→ 0 total(indirect: See Footnotes)
    → Common Stock (2,440,345 underlying)
Sageview Capital GenPar, Ltd.
10% Owner
Transactions
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.20/sh+10,000$122,000→ 45,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+1,210,255→ 12,819,273 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+1,657,407→ 1,657,407 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$4.50/sh+10,000$45,000→ 25,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.60→ Common Stock (10,000 underlying)
  • Conversion

    Series A Preferred Stock

    2018-06-19−155,555→ 0 total(indirect: See Footnotes)
    → Common Stock (77,777 underlying)
  • Conversion

    Series C-1 Preferred Stock

    2018-06-19−4,880,690→ 0 total(indirect: See Footnotes)
    → Common Stock (2,440,345 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$16.60/sh+10,000$166,000→ 75,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+9,090,896→ 9,168,673 total(indirect: See Footnotes)
  • Other

    Warrant (right to buy)

    2018-02-08−10,000→ 0 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $9.72→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$9.72/sh+10,000$97,200→ 35,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.60/sh+10,000$126,000→ 55,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+77,777→ 77,777 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+935,185→ 935,185 total(indirect: See Footnotes)
  • Award

    Warrant (right to buy)

    2018-01-24+10,000→ 10,000 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Other

    Warrant (right to buy)

    2018-02-08+10,000→ 10,000 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Conversion

    Series B-1 Preferred Stock

    2018-06-19−18,181,793→ 0 total(indirect: See Footnotes)
    → Common Stock (9,090,896 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$13.84/sh+10,000$138,400→ 65,000 total(indirect: See Footnotes)
  • Conversion

    Series D Preferred Stock

    2018-06-19−2,420,511→ 0 total(indirect: See Footnotes)
    → Common Stock (1,210,255 underlying)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−3,314,815→ 0 total(indirect: See Footnotes)
    → Common Stock (1,657,407 underlying)
  • Conversion

    Common Stock

    2018-06-19+2,440,345→ 11,609,018 total(indirect: See Footnotes)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $4.50→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.20→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $13.84→ Common Stock (10,000 underlying)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−1,870,370→ 0 total(indirect: See Footnotes)
    → Common Stock (935,185 underlying)
Sageview Partners (C) (Master), LP
10% Owner
Transactions
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.60→ Common Stock (10,000 underlying)
  • Conversion

    Series A Preferred Stock

    2018-06-19−155,555→ 0 total(indirect: See Footnotes)
    → Common Stock (77,777 underlying)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−3,314,815→ 0 total(indirect: See Footnotes)
    → Common Stock (1,657,407 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$9.72/sh+10,000$97,200→ 35,000 total(indirect: See Footnotes)
  • Other

    Warrant (right to buy)

    2018-02-08−10,000→ 0 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$4.50/sh+10,000$45,000→ 25,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $9.72→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.20→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.60/sh+10,000$126,000→ 55,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+1,210,255→ 12,819,273 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+935,185→ 935,185 total(indirect: See Footnotes)
  • Conversion

    Series B-1 Preferred Stock

    2018-06-19−18,181,793→ 0 total(indirect: See Footnotes)
    → Common Stock (9,090,896 underlying)
  • Conversion

    Series C-1 Preferred Stock

    2018-06-19−4,880,690→ 0 total(indirect: See Footnotes)
    → Common Stock (2,440,345 underlying)
  • Conversion

    Series D Preferred Stock

    2018-06-19−2,420,511→ 0 total(indirect: See Footnotes)
    → Common Stock (1,210,255 underlying)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−1,870,370→ 0 total(indirect: See Footnotes)
    → Common Stock (935,185 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.20/sh+10,000$122,000→ 45,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$13.84/sh+10,000$138,400→ 65,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$16.60/sh+10,000$166,000→ 75,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+77,777→ 77,777 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+9,090,896→ 9,168,673 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+2,440,345→ 11,609,018 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+1,657,407→ 1,657,407 total(indirect: See Footnotes)
  • Award

    Warrant (right to buy)

    2018-01-24+10,000→ 10,000 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Other

    Warrant (right to buy)

    2018-02-08+10,000→ 10,000 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $4.50→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $13.84→ Common Stock (10,000 underlying)
Sageview Capital Partners (A), LP
10% Owner
Transactions
  • Conversion

    Series B-1 Preferred Stock

    2018-06-19−18,181,793→ 0 total(indirect: See Footnotes)
    → Common Stock (9,090,896 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$13.84/sh+10,000$138,400→ 65,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.20→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $13.84→ Common Stock (10,000 underlying)
  • Conversion

    Series A Preferred Stock

    2018-06-19−155,555→ 0 total(indirect: See Footnotes)
    → Common Stock (77,777 underlying)
  • Conversion

    Series D Preferred Stock

    2018-06-19−2,420,511→ 0 total(indirect: See Footnotes)
    → Common Stock (1,210,255 underlying)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−3,314,815→ 0 total(indirect: See Footnotes)
    → Common Stock (1,657,407 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$4.50/sh+10,000$45,000→ 25,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.60/sh+10,000$126,000→ 55,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+77,777→ 77,777 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+1,657,407→ 1,657,407 total(indirect: See Footnotes)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $4.50→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$9.72/sh+10,000$97,200→ 35,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.20/sh+10,000$122,000→ 45,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+2,440,345→ 11,609,018 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+935,185→ 935,185 total(indirect: See Footnotes)
  • Other

    Warrant (right to buy)

    2018-02-08−10,000→ 0 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Conversion

    Series C-1 Preferred Stock

    2018-06-19−4,880,690→ 0 total(indirect: See Footnotes)
    → Common Stock (2,440,345 underlying)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−1,870,370→ 0 total(indirect: See Footnotes)
    → Common Stock (935,185 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$16.60/sh+10,000$166,000→ 75,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+9,090,896→ 9,168,673 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+1,210,255→ 12,819,273 total(indirect: See Footnotes)
  • Award

    Warrant (right to buy)

    2018-01-24+10,000→ 10,000 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Other

    Warrant (right to buy)

    2018-02-08+10,000→ 10,000 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $9.72→ Common Stock (10,000 underlying)
Sageview Capital Partners (B), LP
10% Owner
Transactions
  • Exercise of In-Money

    Common Stock

    2018-06-07$9.72/sh+10,000$97,200→ 35,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.20/sh+10,000$122,000→ 45,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$12.60/sh+10,000$126,000→ 55,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$13.84/sh+10,000$138,400→ 65,000 total(indirect: See Footnotes)
  • Exercise of In-Money

    Common Stock

    2018-06-07$16.60/sh+10,000$166,000→ 75,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+77,777→ 77,777 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+9,090,896→ 9,168,673 total(indirect: See Footnotes)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $13.84→ Common Stock (10,000 underlying)
  • Conversion

    Series B-1 Preferred Stock

    2018-06-19−18,181,793→ 0 total(indirect: See Footnotes)
    → Common Stock (9,090,896 underlying)
  • Conversion

    Series D Preferred Stock

    2018-06-19−2,420,511→ 0 total(indirect: See Footnotes)
    → Common Stock (1,210,255 underlying)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−1,870,370→ 0 total(indirect: See Footnotes)
    → Common Stock (935,185 underlying)
  • Conversion

    Common Stock

    2018-06-19+1,210,255→ 12,819,273 total(indirect: See Footnotes)
  • Other

    Warrant (right to buy)

    2018-02-08+10,000→ 10,000 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $4.50→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Common Stock

    2018-06-07$4.50/sh+10,000$45,000→ 25,000 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+2,440,345→ 11,609,018 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+935,185→ 935,185 total(indirect: See Footnotes)
  • Conversion

    Common Stock

    2018-06-19+1,657,407→ 1,657,407 total(indirect: See Footnotes)
  • Award

    Warrant (right to buy)

    2018-01-24+10,000→ 10,000 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Other

    Warrant (right to buy)

    2018-02-08−10,000→ 0 total
    Exercise: $16.60→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $9.72→ Common Stock (10,000 underlying)
  • Conversion

    Series A Preferred Stock

    2018-06-19−155,555→ 0 total(indirect: See Footnotes)
    → Common Stock (77,777 underlying)
  • Conversion

    Series C-1 Preferred Stock

    2018-06-19−4,880,690→ 0 total(indirect: See Footnotes)
    → Common Stock (2,440,345 underlying)
  • Conversion

    Series D-2 Preferred Stock

    2018-06-19−3,314,815→ 0 total(indirect: See Footnotes)
    → Common Stock (1,657,407 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $12.20→ Common Stock (10,000 underlying)
  • Exercise of In-Money

    Warrant (right to buy)

    2018-06-07−10,000→ 0 total(indirect: See Footnotes)
    Exercise: $16.60→ Common Stock (10,000 underlying)
Footnotes (10)
  • [F1]The shares issuable upon exercise of the warrant are subject to the terms of a lock-up agreement entered into in connection with the Issuer's initial public offering.
  • [F10]Pursuant to Mr. Gilhuly's arrangement with SC and related entities, warrants issued to Mr. Gilhuly were transferred to SC. No consideration was paid in connection with the transfer.
  • [F2]Sageview Capital LP ("SC") is investment adviser to Sageview Capital Master, L.P. ("SCM"). Edward A. Gilhuly and Scott M. Stuart are co-presidents of Sageview Capital MGP, LLC ("Sageview MGP"), which ultimately controls the general partner of SCM, Sageview Avalara Partners I, L.P. ("SCAI"), and Sageview Avalara Partners, L.P. ("SCA"), and in such capacity they may be deemed to have shared voting and dispositive power over the shares held by SCM, SCAI, and SCA. Messrs. Gilhuly and Stuart are managing and control persons of SC, and in such capacity they may be deemed to have shared voting and dispositive power over the common stock held by SC.
  • [F3]Reflects shares or warrants, as applicable, held directly by SC. Each of SCM, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any. Entities referenced in this footnote are defined in footnote 2 or footnote 5, as applicable.
  • [F4]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.
  • [F5]Reflects shares held directly by SCM. Sageview Capital Partners (A), L.P. ("Sageview A"), Sageview Capital Partners (B), L.P. ("Sageview B") and Sageview Partners (C) (Master), L.P. ("Sageview C") are the shareholders of SCM. Sageview Capital GenPar, Ltd. ("Sageview Ltd") is the sole general partner of each of SCM, Sageview A, Sageview B and Sageview C. Sageview Capital GenPar, L.P. ("Sageview GenPar") is the sole shareholder of Sageview Ltd. Sageview MGP is the sole general partner of Sageview GenPar. Edward Gilhuly and Scott Stuart are managing members and controlling persons of Sageview Capital MGP, LLC. Each of SC, SCAI, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any.
  • [F6]Reflects shares held directly by SCA. Each of SC, SCM, SCAI, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any.
  • [F7]Reflects shares held directly by SCAI. Each of SC, SCM, SCA, Sageview A, Sageview B, Sageview C, Sageview Ltd, Sageview GenPar, Sageview MGP, and Messrs. Gilhuly and Stuart disclaim beneficial ownership of such securities, except to the extent of its or his pecuniary interest therein, if any.
  • [F8]The warrant was fully exercisable upon grant.
  • [F9]Unless sooner exercised, the warrant expires immediately prior to the closing of the Issuer's initial public offering and will be automatically net exercised pursuant to its terms if not exercised prior to that time.

Documents

2 files

Issuer

AVALARA INC

CIK 0001348036

→
Entity typeother

Related Parties

1
  • filerCIK 0001206780

Filing Metadata

Form type
4
Filed
Jun 18, 8:00 PM ET
Accepted
Jun 19, 6:42 PM ET
Size
73.9 KB
View on SEC.gov