Avantax, Inc.

SIC Finance Services

Headquarters Dallas, TX

Financials

FORMNAMEDATE FILED

10-QQ311/6/2023 10-QQ28/9/2023 10-QQ15/8/2023 10-KFY 20222/28/2023 10-QQ311/1/2022 10-QQ28/8/2022 10-QQ15/4/2022

Prospectuses and Registrations

FORMNAMEDATE FILED

15-12GSecurities registration termination12/7/2023 S-8 POSSecurities to be offered to employees in employee benefit plans, post-effective amendments11/27/2023 S-8 POSSecurities to be offered to employees in employee benefit plans, post-effective amendments11/27/2023 S-8 POSSecurities to be offered to employees in employee benefit plans, post-effective amendments11/27/2023 S-8 POSSecurities to be offered to employees in employee benefit plans, post-effective amendments11/27/2023 S-8 POSSecurities to be offered to employees in employee benefit plans, post-effective amendments11/27/2023 S-8 POSSecurities to be offered to employees in employee benefit plans, post-effective amendments11/27/2023

Proxies

FORMNAMEDATE FILED

DEFA14AAdditional definitive proxy soliciting materials and Rule 14(a)(12) material11/13/2023 DEFM14ADefinitive proxy statement relating to merger or acquisition10/16/2023 PREM14APreliminary proxy statements relating to merger or acquisition10/6/2023 DEFA14AAdditional definitive proxy soliciting materials and Rule 14(a)(12) material9/26/2023 DEFA14AAdditional definitive proxy soliciting materials and Rule 14(a)(12) material9/15/2023 DEFA14AAdditional definitive proxy soliciting materials and Rule 14(a)(12) material9/13/2023 DEFA14AAdditional definitive proxy soliciting materials and Rule 14(a)(12) material9/11/2023

News

FORMNAMEDATE FILED

8-KEntry into a Material Definitive Agreement11/27/2023 8-KSubmission of Matters to a Vote of Security Holders11/21/2023 8-KNews Release11/13/2023 8-KResults of Operations and Financial Condition11/6/2023 8-KEntry into a Material Definitive Agreement9/11/2023 8-KResults of Operations and Financial Condition8/9/2023 8-K/ASubmission of Matters to a Vote of Security Holders6/5/2023

Ownership

FORMNAMEDATE FILED

SC 13GGlazer Capital, Llc12/1/2023 4Mehlman Marc11/29/2023 4Walters Christopher William11/29/2023 4Murray Stacy11/29/2023 4Bailey Tabitha11/29/2023 4Mackay Todd C11/29/2023 4Ernst Mark A11/29/2023

Others

FORMNAMEDATE FILED

EFFECTNotice of Effectiveness12/6/2023 EFFECTNotice of Effectiveness12/6/2023 EFFECTNotice of Effectiveness12/6/2023 25-NSENotification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities11/27/2023 UPLOADSEC-generated letter2/7/2023 UPLOADSEC-generated letter2/1/2023 UPLOADSEC-generated letter4/6/2021