Latest filings (excl ownership)
15-12G
Securities registration termination
7 Dec 23
EFFECT
Notice of effectiveness
7 Dec 23
EFFECT
Notice of effectiveness
7 Dec 23
EFFECT
Notice of effectiveness
7 Dec 23
S-8 POS
Registration of securities for employees (post-effective amendment)
27 Nov 23
S-8 POS
Registration of securities for employees (post-effective amendment)
27 Nov 23
S-8 POS
Registration of securities for employees (post-effective amendment)
27 Nov 23
S-8 POS
Registration of securities for employees (post-effective amendment)
27 Nov 23
S-8 POS
Registration of securities for employees (post-effective amendment)
27 Nov 23
S-8 POS
Registration of securities for employees (post-effective amendment)
27 Nov 23
S-8 POS
Registration of securities for employees (post-effective amendment)
27 Nov 23
S-8 POS
Registration of securities for employees (post-effective amendment)
27 Nov 23
S-8 POS
Registration of securities for employees (post-effective amendment)
27 Nov 23
S-8 POS
Registration of securities for employees (post-effective amendment)
27 Nov 23
POS AM
Prospectus update (post-effective amendment)
27 Nov 23
POS AM
Prospectus update (post-effective amendment)
27 Nov 23
POS AM
Prospectus update (post-effective amendment)
27 Nov 23
8-K
Cetera Holdings Announces Close of Avantax Acquisition
27 Nov 23
25-NSE
Exchange delisting
27 Nov 23
8-K
Submission of Matters to a Vote of Security Holders
21 Nov 23
DEFA14A
Additional proxy soliciting materials
13 Nov 23
8-K
Departure of Directors or Certain Officers
13 Nov 23
10-Q
2023 Q3
Quarterly report
6 Nov 23
8-K
Avantax Reports Third Quarter 2023 Results
6 Nov 23
DEFM14A
Proxy related to merger
16 Oct 23
PREM14A
Preliminary proxy related to merger
6 Oct 23
DEFA14A
Additional proxy soliciting materials
26 Sep 23
DEFA14A
Additional proxy soliciting materials
15 Sep 23
DEFA14A
Additional proxy soliciting materials
13 Sep 23
DEFA14A
Additional proxy soliciting materials
11 Sep 23
8-K
Avantax Enters into Definitive Agreement to be Acquired by Cetera Holdings
11 Sep 23
10-Q
2023 Q2
Quarterly report
9 Aug 23
8-K
Avantax Reports Second Quarter 2023 Results
9 Aug 23
8-K/A
Submission of Matters to a Vote of Security Holders
5 Jun 23
S-8
Registration of securities for employees
8 May 23
10-Q
2023 Q1
Quarterly report
8 May 23
8-K
Avantax Reports First Quarter 2023 Results
8 May 23
8-K
Departure of Directors or Certain Officers
5 May 23
DEFR14A
Revised proxy
5 Apr 23
8-K
Entry into a Material Definitive Agreement
4 Apr 23
Latest ownership filings
SC 13G
GLAZER CAPITAL, LLC
1 Dec 23
4
Marc Mehlman
29 Nov 23
4
Christopher William Walters
29 Nov 23
4
Stacy Murray
29 Nov 23
4
Tabitha Bailey
29 Nov 23
4
Todd C Mackay
29 Nov 23
4
MARK A ERNST
29 Nov 23
4
CAROL HAYLES
29 Nov 23
4
GEORGANNE PROCTOR
29 Nov 23
4
Kanayalal Amritlal Kotecha
29 Nov 23
4
J RICHARD LEAMAN III
29 Nov 23
4
Tina Perry
29 Nov 23
4
Karthik Rao
29 Nov 23
4
Jana R Schreuder
29 Nov 23
4
Stacy Murray
28 Jun 23
4
Christopher William Walters
25 May 23
4
Christopher William Walters
23 May 23
4
Todd C Mackay
23 May 23
4
GEORGANNE PROCTOR
8 May 23
4/A
GEORGANNE PROCTOR
8 May 23
4
Kanayalal Amritlal Kotecha
8 May 23
4
Jana R Schreuder
8 May 23
4
Tina Perry
8 May 23
4
J RICHARD LEAMAN III
8 May 23
4
MARK A ERNST
8 May 23
4
Karthik Rao
8 May 23
4
CAROL HAYLES
8 May 23
4
Marc Mehlman
1 May 23
4
Stacy Murray
2 Mar 23
SC 13G/A
DIMENSIONAL FUND ADVISORS LP
10 Feb 23
SC 13G/A
VANGUARD GROUP INC
9 Feb 23
4
Tabitha Bailey
6 Feb 23
4
Christopher William Walters
31 Jan 23
4
Todd C Mackay
31 Jan 23
3
Tabitha Bailey
27 Jan 23
SC 13G/A
BlackRock Inc.
26 Jan 23
4
Mary Slagle Zappone
20 Jan 23
4
CAROL HAYLES
20 Jan 23
4
Tina Perry
20 Jan 23
4
Karthik Rao
20 Jan 23