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Avantax, Inc. – ‘10-K’ for 12/31/22 – ‘EX-10.40’

On:  Tuesday, 2/28/23, at 8:04am ET   ·   For:  12/31/22   ·   Accession #:  1068875-23-55   ·   File #:  0-25131

Previous ‘10-K’:  ‘10-K’ on 2/25/22 for 12/31/21   ·   Latest ‘10-K’:  This Filing   ·   33 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size

 2/28/23  Avantax, Inc.                     10-K       12/31/22  110:12M

Annual Report   —   Form 10-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   2.84M 
 2: EX-4.1      Instrument Defining the Rights of Security Holders  HTML     49K 
 3: EX-10.39    Material Contract                                   HTML    121K 
 4: EX-10.40    Material Contract                                   HTML     35K 
 5: EX-10.41    Material Contract                                   HTML     60K 
 6: EX-10.42    Material Contract                                   HTML    266K 
 7: EX-21.1     Subsidiaries List                                   HTML     30K 
 8: EX-23.1     Consent of Expert or Counsel                        HTML     30K 
 9: EX-31.1     Certification -- §302 - SOA'02                      HTML     33K 
10: EX-31.2     Certification -- §302 - SOA'02                      HTML     33K 
11: EX-32.1     Certification -- §906 - SOA'02                      HTML     29K 
12: EX-32.2     Certification -- §906 - SOA'02                      HTML     29K 
18: R1          Cover Page                                          HTML     92K 
19: R2          Audit Information                                   HTML     34K 
20: R3          Consolidated Balance Sheets                         HTML    168K 
21: R4          Consolidated Balance Sheets (Parenthetical)         HTML     39K 
22: R5          Consolidated Statements of Comprehensive Income     HTML    160K 
                (Loss)                                                           
23: R6          Consolidated Statements of Stockholders? Equity     HTML     83K 
24: R7          Consolidated Statements of Cash Flows               HTML    154K 
25: R8          Description of the Business                         HTML     42K 
26: R9          Summary of Significant Accounting Policies          HTML     76K 
27: R10         Discontinued Operations                             HTML     84K 
28: R11         Revenue Recognition                                 HTML     59K 
29: R12         Asset Acquisitions                                  HTML     31K 
30: R13         Goodwill and Acquired Intangible Assets, Net        HTML     78K 
31: R14         Debt                                                HTML     51K 
32: R15         Leases                                              HTML     99K 
33: R16         Balance Sheet Components                            HTML     71K 
34: R17         Commitments and Contingencies                       HTML     44K 
35: R18         Fair Value Measurements                             HTML     86K 
36: R19         Stockholders' Equity                                HTML     39K 
37: R20         Stock-based Compensation                            HTML    132K 
38: R21         Interest Expense and Other, Net                     HTML     41K 
39: R22         401 (k) Plan                                        HTML     31K 
40: R23         Income Taxes                                        HTML    118K 
41: R24         Net Income (Loss) Per Share                         HTML     59K 
42: R25         Subsequent Event                                    HTML     35K 
43: R26         Summary of Significant Accounting Policies          HTML    123K 
                (Policies)                                                       
44: R27         Summary of Significant Accounting Policies          HTML     49K 
                (Tables)                                                         
45: R28         Discontinued Operations (Tables)                    HTML     84K 
46: R29         Revenue Recognition (Tables)                        HTML     56K 
47: R30         Goodwill and Acquired Intangible Assets, Net        HTML     85K 
                (Tables)                                                         
48: R31         Debt (Tables)                                       HTML     37K 
49: R32         Leases (Tables)                                     HTML     65K 
50: R33         Balance Sheet Components (Tables)                   HTML     80K 
51: R34         Commitments and Contingencies (Tables)              HTML     35K 
52: R35         Fair Value Measurements (Tables)                    HTML     82K 
53: R36         Stock-based Compensation (Tables)                   HTML    137K 
54: R37         Interest Expense and Other, Net (Tables)            HTML     40K 
55: R38         Income Taxes (Tables)                               HTML    122K 
56: R39         Net Income (Loss) Per Share (Tables)                HTML     57K 
57: R40         Description of the Business (Detail)                HTML     44K 
58: R41         Summary of Significant Accounting Policies -        HTML     44K 
                Summary of Estimated Useful Life of Property and                 
                Equipment (Detail)                                               
59: R42         Summary of Significant Accounting Policies -        HTML     47K 
                Narrative (Detail)                                               
60: R43         Discontinued Operations - Additional Information    HTML     44K 
                (Details)                                                        
61: R44         Discontinued Operations - Disposal Groups,          HTML     77K 
                Including Discontinued Operations (Details)                      
62: R45         Discontinued Operations- Income Statement           HTML     60K 
                (Details)                                                        
63: R46         Discontinued Operations - Balance Sheet (Details)   HTML     82K 
64: R47         Discontinued Operations - Non-cash Items (Details)  HTML     44K 
65: R48         Revenue Recognition (Details)                       HTML     47K 
66: R49         Asset Acquisitions (Details)                        HTML     37K 
67: R50         Goodwill and Acquired Intangible Assets, Net -      HTML     41K 
                Summary of Goodwill Activity (Detail)                            
68: R51         Goodwill and Acquired Intangible Assets, Net -      HTML     32K 
                Narrative (Details)                                              
69: R52         Goodwill and Acquired Intangible Assets, Net -      HTML     60K 
                Intangible Assets Other Than Goodwill (Detail)                   
70: R53         Goodwill and Acquired Intangible Assets, Net -      HTML     44K 
                Information About Expected Amortization of                       
                Definite-Lived Intangible Assets (Detail)                        
71: R54         Debt - Schedule of Company's Debt (Detail)          HTML     39K 
72: R55         Debt - Narrative (Details)                          HTML     88K 
73: R56         Leases - Operating Lease Expense (Details)          HTML     50K 
74: R57         Leases - Supplemental Balance Sheet Information     HTML     41K 
                Related to Leases (Details)                                      
75: R58         Leases - Maturities of Operating Lease Liabilities  HTML     48K 
                (Details)                                                        
76: R59         Leases - Narrative (Details)                        HTML     32K 
77: R60         Balance Sheet Components - Prepaid Expenses and     HTML     37K 
                Other Current Assets (Detail)                                    
78: R61         Balance Sheet Components - Property and Equipment   HTML     56K 
                (Detail)                                                         
79: R62         Balance Sheet Components - Narrative (Detail)       HTML     36K 
80: R63         Balance Sheet Components - Accrued Expenses and     HTML     48K 
                Other Current Liabilities (Detail)                               
81: R64         Balance Sheet Components - Other Long Term          HTML     34K 
                Liabilities (Details)                                            
82: R65         Commitment and Contingencies - Purchase             HTML     42K 
                Commitments (Details)                                            
83: R66         Commitment and Contingencies - Narrative (Details)  HTML     57K 
84: R67         Fair Value Measurements - Schedule of Fair Value    HTML     64K 
                Hierarchy of Financial Assets and Liabilities                    
                Carried at Fair Value and Measured on Recurring                  
                Basis (Detail)                                                   
85: R68         Fair Value Measurements - Narrative (Details)       HTML     42K 
86: R69         Fair Value Measurements - Reconciliation of         HTML     36K 
                Unobservable Inputs (Details)                                    
87: R70         Stockholders' Equity (Detail)                       HTML     51K 
88: R71         Stock-based Compensation - Narrative (Details)      HTML     57K 
89: R72         Stock-based Compensation - Summary of Stock         HTML     37K 
                Options, RSUs and MSUs (Detail)                                  
90: R73         Stock-based Compensation - Stock Incentive Plans    HTML    139K 
                Activity (Detail)                                                
91: R74         Stock-based Compensation - Stock Option Grants and  HTML     45K 
                Warrant (Detail)                                                 
92: R75         Stock-based Compensation - Schedule of              HTML     50K 
                Supplemental Information (Detail)                                
93: R76         Stock-based Compensation - Stock-Based              HTML     47K 
                Compensation Expense (Detail)                                    
94: R77         Stock-based Compensation - Unrecognized             HTML     40K 
                Stock-Based Compensation Expense (Detail)                        
95: R78         Interest Expense and Other, Net (Detail)            HTML     37K 
96: R79         401 (K) Plan (Details)                              HTML     36K 
97: R80         Income Taxes - Loss Before Income Taxes (Details)   HTML     36K 
98: R81         Income Taxes - Income Tax Expense (Benefit) from    HTML     49K 
                Continuing Operations (Detail)                                   
99: R82         Income Taxes - Income Tax Expense (Benefit) from    HTML     56K 
                Continuing Operations Differed from Amount                       
                Computed by Applying Statutory Federal Income Tax                
                Rate (Detail)                                                    
100: R83         Income Taxes - Deferred Tax Assets and Liabilities  HTML     67K  
                (Detail)                                                         
101: R84         Income Taxes - Narrative (Detail)                   HTML     48K  
102: R85         Income Taxes - Changes in Valuation Allowance for   HTML     37K  
                Deferred Tax Assets (Detail)                                     
103: R86         Income Taxes - Reconciliation of Unrecognized Tax   HTML     38K  
                Benefit Balances (Detail)                                        
104: R87         Net Income (Loss) Per Share - Summary of Dilutive   HTML     96K  
                Effect for Awards with Exercise Price Less Than                  
                Average Stock Price (Detail)                                     
105: R88         Subsequent Event (Details)                          HTML     57K  
108: XML         IDEA XML File -- Filing Summary                      XML    194K  
106: XML         XBRL Instance -- avta-20221231_htm                   XML   2.76M  
107: EXCEL       IDEA Workbook of Financial Reports                  XLSX    193K  
14: EX-101.CAL  XBRL Calculations -- avta-20221231_cal               XML    334K 
15: EX-101.DEF  XBRL Definitions -- avta-20221231_def                XML    737K 
16: EX-101.LAB  XBRL Labels -- avta-20221231_lab                     XML   2.04M 
17: EX-101.PRE  XBRL Presentations -- avta-20221231_pre              XML   1.31M 
13: EX-101.SCH  XBRL Schema -- avta-20221231                         XSD    197K 
109: JSON        XBRL Instance as JSON Data -- MetaLinks              542±   871K  
110: ZIP         XBRL Zipped Folder -- 0001068875-23-000055-xbrl      Zip    695K  


‘EX-10.40’   —   Material Contract


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  Document  
Exhibit 10.40
OMNIBUS AMENDMENT
TO COMPANY PLANS
OF AVANTAX, INC.

January 26, 2023

This Omnibus Amendment to Company Plans (this “Omnibus Amendment”), entered into by Avantax, Inc., a Delaware corporation formerly known as Blucora, Inc. (the “Company”), effects amendments to each of the plans and agreements of the Company set forth on Schedule A (each a “Company Plan” and together the “Company Plans”) to reflect that the Company amended its certificate of incorporation, effective as of the date hereof, to change its corporate name from “Blucora, Inc.” to “Avantax, Inc.” In furtherance of the foregoing, the Company Plans are hereby amended as described below.
1.Amendment to Company Plans. Effective as of the date hereof, each Company Plan is hereby amended to replace each reference to “Blucora, Inc.” or “Blucora” (including, as applicable, in the title of each Company Plan) with a reference to “Avantax, Inc.” or “Avantax” (as applicable).
2.Entire Agreement. Except as expressly amended by Section 1 above, the terms and conditions of each Company Plan shall remain in full force and effect and shall be read to be consistent with this Omnibus Amendment.

* * * * *





This Omnibus Amendment has been executed and is effective as of the date written above.

AVANTAX, INC.
By:/s/ Christopher W. Walters
Name:Christopher W. Walters
Title:Chief Executive Officer



Schedule A

Company Plans

Restated 1996 Flexible Stock Incentive Plan (as amended and restated)
Blucora, Inc. 2015 Incentive Plan as Amended and Restated (including the forms of grant notice and award agreement thereunder)
Blucora, Inc. 2018 Long-Term Incentive Plan (as amended) (including the forms of grant notice and award agreement thereunder)
Blucora, Inc. 2016 Equity Inducement Plan (as amended) (including the forms of grant notice and award agreement thereunder)
Blucora, Inc. 2016 Employee Stock Purchase Plan (as amended)
Blucora, Inc. Non-Employee Director Compensation Policy (as amended)
Blucora Director Tax-Smart Deferral Plan (as amended)
Blucora Tax-Smart Executive Deferral Plan (as amended)
Form of Indemnification Agreement
Blucora, Inc. Executive Change of Control Severance Plan (as amended) (including the form of participation agreement thereunder)
Blucora, Inc. Annual Incentive Plan
Form of Employment Agreement for Executive Officers



Schedule A

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
Filed on:2/28/23
1/26/238-K,  SC 13G/A
For Period end:12/31/22
 List all Filings 


3 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

10/16/23  Avantax, Inc.                     DEFM14A                1:3.1M                                   Donnelley … Solutions/FA
10/06/23  Avantax, Inc.                     PREM14A    10/06/23    2:2.7M                                   Donnelley … Solutions/FA
 5/08/23  Avantax, Inc.                     S-8         5/08/23    4:108K


30 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/26/23  Avantax, Inc.                     8-K:5,7,9   1/21/23   15:817K                                   Quality EDGAR So… LLC/FA
 1/24/23  Avantax, Inc.                     8-K:1,2,8,9 1/24/23   12:1.8M                                   Quality EDGAR So… LLC/FA
11/01/22  Avantax, Inc.                     8-K:1,7,9  10/31/22   12:1.1M                                   Quality EDGAR So… LLC/FA
 5/04/22  Avantax, Inc.                     10-Q        3/31/22   61:5.4M
 2/04/22  Avantax, Inc.                     8-K:5,9     2/01/22   11:444K
 7/02/21  Avantax, Inc.                     8-K:1,9     6/29/21   11:285K
 2/26/21  Avantax, Inc.                     10-K       12/31/20  107:13M
 1/19/21  Avantax, Inc.                     8-K:5,9     1/17/21   13:382K
 7/01/20  Avantax, Inc.                     8-K:1,2,7,9 6/30/20   13:2.2M                                   Donnelley … Solutions/FA
 5/28/20  Avantax, Inc.                     8-K:5,9     5/21/20   13:238K
 5/06/20  Avantax, Inc.                     10-Q        3/31/20   70:7.1M
 4/09/20  Avantax, Inc.                     DEF 14A    12/31/19    1:4.2M
 2/28/20  Avantax, Inc.                     10-K       12/31/19  126:16M
 8/08/19  Avantax, Inc.                     10-Q        6/30/19   66:7.6M
 3/19/19  Avantax, Inc.                     8-K:1,7,8,9 3/18/19    4:684K                                   Donnelley … Solutions/FA
 3/01/19  Avantax, Inc.                     10-K       12/31/18  116:15M
10/31/18  Avantax, Inc.                     10-Q        9/30/18   61:6.6M
 8/01/18  Avantax, Inc.                     10-Q        6/30/18   60:6.2M
 6/08/18  Avantax, Inc.                     8-K:5,9     6/07/18    2:66K
 5/25/18  Avantax, Inc.                     8-K:8,9     5/24/18    2:52K
 4/19/18  Avantax, Inc.                     DEF 14A     6/07/18    1:3.1M
 2/23/18  Avantax, Inc.                     8-K:5,9     2/16/18    5:340K
 6/05/17  Avantax, Inc.                     8-K:5,9     6/01/17    5:117K                                   Workiva Inc Wde… FA01/FA
10/14/16  Avantax, Inc.                     S-8        10/14/16    4:84K
 4/28/16  Avantax, Inc.                     10-Q        3/31/16   75:6.6M
 4/25/16  Avantax, Inc.                     DEF 14A     5/24/16    1:1.3M                                   Donnelley … Solutions/FA
 1/29/16  Avantax, Inc.                     S-8         1/29/16    4:216K
 7/30/15  Avantax, Inc.                     10-Q        6/30/15   62:6.2M
 9/08/14  Avantax, Inc.                     S-8         9/08/14    5:112K                                   Donnelley … Solutions/FA
 8/13/12  Blucora, Inc.                     8-K:3,5,9   8/09/12    3:51K                                    R R Donnelley … Filer/FA
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