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Avantax, Inc. 
 TX
  SEC # 1068875


        
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1,955  SEC Filings
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  from  8/27/98  to  12/7/23  (4 Months Ago)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘15-12G’ — Certification of a Termination of Registration of a Class of Securities — Form 15 — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  Avantax, Inc. 

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Forms
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, Documents
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& Exhibits
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 in  785 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
12/7/2315-12GRegistration:  Certification of a Termination of Registration of a Class of Securities — Form 151
12/7/23EFFECTSEC:  SEC Notices of Effectiveness4
11/27/23S-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations31
11/27/23POS AMRegistration:  Post-Effective Amendments of Registration Statements15
11/27/238-KUpdate:  Current Reports — Form 8-K — Press Releases
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& Conference Calls
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 — Financial Reports
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390

8-K Items: 
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11/27/23
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01 — ‘EX-10’
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62
11/27/23"Termination of a Material Definitive Agreement — Item 1.02 — ‘EX-10’
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5
11/27/23
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01 — ‘EX-2’
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15
11/6/23"Results of Operations and Financial Condition — Item 2.02 — Financial Reports
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80
11/27/23"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03 — ‘EX-10’
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14
10/19/15 OLD"Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ‘EX-2’
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3
10/25/19 OLD"Material Impairments — Item 2.06  OLD  — ‘EX-2’
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2
11/27/23
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.011
3/15/13 OLD"Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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2
11/27/23"Material Modifications to Rights of Security Holders — Item 3.03 — ‘EX-4’
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3
3/14/12 OLD
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  Accountants & Accounting: 
Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ‘EX-16’
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1
11/3/11 OLD"Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02  OLD  — ‘EX-7’
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1
11/27/23
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  Governance & Management: 
Changes in Control of Registrant — Item 5.011
11/27/23"Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers
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104
11/27/23"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 — ‘EX-3’
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13
8/15/14 OLD"Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD  — ‘EX-14’
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1
11/21/23"Submission of Matters to a Vote of Security Holders — Item 5.0716
11/27/23
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  Disclosures: 
Regulation FD Disclosure — Item 7.01 — ‘EX-99’
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73
11/13/23
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  Events: 
Other Events — Item 8.0157
11/27/23
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  Financials: 
Financial Statements and Exhibits — Item 9.01 — Financial Reports
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258

11/13/23DEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A53
11/6/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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80
10/16/23DEFM14AProxy:  Definitive Proxy Statement – Merger or Acquisition — Schedule 14A1
10/6/23PREM14AProxy:  Preliminary Proxy Statement – Merger or Acquisition — Schedule 14A1
5/8/23S-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-821
4/5/23 OLDDEFR14AProxy:  Definitive Revised Proxy Soliciting Material — Schedule 14A  OLD 1
4/3/23 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD  — Financial Reports
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26
3/24/23 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD  — Financial Reports
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10
3/1/23 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 15
2/28/23 OLD10-KUpdate:  Annual Reports — Form 10-K  OLD  — Financial Reports
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28
4/2/21 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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28
3/11/21 OLDDEFC14AProxy:  Definitive Proxy Statements – Contested Solicitations — Schedule 14A  OLD 2
3/1/21 OLDPREC14AProxy:  Preliminary Proxy Statements – Contested Solicitations — Schedule 14A  OLD 2
4/27/17 OLD424B3Registration:  Prospectus – New Facts or Events  OLD 1
4/25/17 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 3
5/26/16 OLDSDUpdate:  Specialized Disclosure Report re: the Use of Conflict Minerals — Form SD  OLD 1
4/20/16 OLDCT ORDERSEC:  SEC Confidential Treatment Orders  OLD 15
7/20/15 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 7
5/12/15 OLDARSUpdate:  Annual Reports to Security Holders  OLD 9
11/8/11 OLDNT 10-QUpdate:  Notice of a Late Filing of a Form 10-Q Quarterly Report — Form 12b-25  OLD 1
6/4/09 OLD8-A12GRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 3
3/31/05 OLDAWRegistration:  Amendment Withdrawal Request  OLD 1
3/7/02 OLDREGDEXRegistration:  Notice of an Exempt Offering of Securities — Form D  OLD 1
10/25/01 OLDSC TO-COwnership:  Tender-Offer Communication by an Issuer or Third Party — Schedule TO  OLD 1
10/16/01 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 4
9/18/01 OLDS-1Registration:  Registration Statements (General Form) — Form S-1  OLD 19
10/2/00 OLD424B2Registration:  Prospectus – Primary Offering or Shelf Securities  OLD 1
9/8/00 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD 2
7/31/00 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 4
1/7/00 OLDS-3MEFRegistration:  Registration Statement to Add Securities to a Prior Form S-3 Registration  OLD 1
4/16/99 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Materials — Schedule 14A  OLD 2
3/31/99 OLD424B1Registration:  Prospectus – Info Previously Omitted  OLD 1
12/16/98 OLD424B4Registration:  Prospectus – Info Previously Omitted & New Facts or Events  OLD 1

General Exhibits: 
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11/27/23EX-3Articles of Incorporation/Organization and Bylaws24
10/6/23EX-FILING FEESFiling Fees3
9/11/23EX-10Material Contracts317
9/11/23EX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions36
5/8/23EX-23Consents of Experts and Counsel125
5/8/23EX-5Opinions of Counsel re: Legality39
2/28/23 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 28
2/28/23 OLDEX-21Subsidiaries Lists  OLD 29
5/26/16 OLDEX-1Underwriting Agreements and Conflict Minerals Reports  (and mislabeled “1st Exhibits”)  OLD 3
8/15/14 OLDEX-14Codes of Ethics  OLD 2
11/14/01 OLDEX-24Powers of Attorney  OLD 9
8/17/00 OLDEX-8Opinions of Counsel re: Tax Matters  OLD 2
7/10/00 OLDEX-20Other Documents and Statements Furnished to Security Holders  OLD 7

Additional Exhibits: 
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11/27/23EX-99Miscellaneous Exhibits, such as Press Releases — Press Releases
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& Conference Calls
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370

Financials: 
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11/27/23XML  &  R#IDEA Financial Reports Info — Financial Reports
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3,219
11/27/23EXCELIDEA Workbooks of Financial Reports Info — Workbooks of Financial Reports
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136
11/27/23EX-101.*XBRL Data  (XBRL Files)552
11/27/23JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)100
11/27/23ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)
129
11/6/23EX-31Certifications — §302 – SOA’02172
11/6/23EX-32Certifications — §906 – SOA’02170
6/3/14 OLDEX-7Correspondence from Accountants re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews  OLD 2
3/14/12 OLDEX-16Letter re: a Change in Accountant  OLD 1
2/13/01 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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24
5/17/00 OLDEX-15Letter re: Unaudited Interim Financial Info  OLD 1

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11/27/23GRAPHICPhotos, Images and Graphs1,360


Forms
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, Documents
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& Exhibits
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 in  1,190 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 095229
 

        
Latest Filing  Type    Category    Description        Documents
     
12/1/23SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G138
11/29/234Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4889
11/27/2325-NSETrading:  Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 251
3/1/23 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 15
1/27/23 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 71
2/14/22 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 2
2/14/22 OLDDFAN14AProxy:  Definitive Additional Non-Management Proxy Soliciting Materials — Schedule 14A  OLD 29
3/11/21 OLDDEFC14AProxy:  Definitive Proxy Statements – Contested Solicitations — Schedule 14A  OLD 3
3/5/21 OLDPRRN14AProxy:  Preliminary Revised Non-Management Proxy Soliciting Material – Contested Solicitation or Other Situation — Schedule 14A  OLD 1
3/1/21 OLDPREC14AProxy:  Preliminary Proxy Statements – Contested Solicitations — Schedule 14A  OLD 4
11/22/13 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 12
10/25/01 OLDSC TO-COwnership:  Tender-Offer Communication by an Issuer or Third Party — Schedule TO  OLD 1

Letters: 
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2/7/23 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC31
2/7/23 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 7

General Exhibits: 
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11/29/23EX-24Powers of Attorney144
1/27/23 OLDEX-FILING FEESFiling Fees  OLD 1
9/10/01 OLDEX-10Material Contract  OLD 1

Additional Exhibits: 
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11/27/23EX-99Miscellaneous Exhibits, such as Press Releases53

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11/29/23GRAPHICPhotos, Images and Graphs173


        

Filings History

Year    # of Filings
In descending order
2023 116
2022 66
2021 125
2020 84
2019 76
2018 88
2017 108
2016 81
2015 90
2014 103
2013 77
2012 87
2011 95
2010 105
2009 78
2008 96
2007 103
2006 53
2005 65
2004 52
2003 59
2002 24
2001 34
2000 51
1999 28
1998 11

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