79 results
DEFM14A
AVTA
Avantax, Inc.
16 Oct 23
Proxy related to merger
5:00pm
; (vi) willful and material breach of Avantax’s or an affiliate’s written code of conduct and business ethics or other material written policy, procedure … to the Company and its Subsidiaries, taken as a whole.
(n) Each Registered Adviser has (i) adopted a formal code of ethics in compliance in all material
PREM14A
AVTA
Avantax, Inc.
6 Oct 23
Preliminary proxy related to merger
5:23pm
and business ethics or other material written policy, procedure or guideline (provided that access to a copy of such policy, procedure or guideline … to be material and adverse to the Company and its Subsidiaries, taken as a whole.
(n) Each Registered Adviser has (i) adopted a formal code of ethics
8-K
EX-2.1
AVTA
Avantax, Inc.
11 Sep 23
Avantax Enters into Definitive Agreement to be Acquired by Cetera Holdings
8:37am
has (i) adopted a formal code of ethics in compliance in all material respects with Rule 204A-1 promulgated under the Investment Advisers Act; (ii
8-K
EX-10.1
AVTA
Avantax, Inc.
4 Apr 23
Entry into a Material Definitive Agreement
4:29pm
of conduct and business ethics or other material written policy, procedure or guideline in effect from time to time (provided that the Executive
8-K
EX-3.1
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18 Aug 22
Amendments to Articles of Incorporation or Bylaws
4:17pm
8-K
EX-10.1
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4 Feb 22
Departure of Directors or Certain Officers
5:21pm
8-K
EX-99.1
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10 Dec 21
Regulation FD Disclosure
9:00am
8-K
EX-99.1
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12 Apr 21
Other Events
5:26pm
DEFA14A
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12 Apr 21
Additional proxy soliciting materials
5:24pm
DFAN14A
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6 Apr 21
Additional proxy materials by non-management
5:15pm
DEFA14A
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31 Mar 21
Additional proxy soliciting materials
5:28pm
8-K
EX-99.2
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31 Mar 21
Blucora Publishes Detailed Investor Presentation Outlining Momentum and Progress Under Leadership of Current Board and Management Team
5:24pm
DEFC14A
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11 Mar 21
Proxy in contested solicitation
9:27am
PREC14A
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1 Mar 21
Preliminary proxy with contested solicitation
9:20am
8-K
EX-10.1
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19 Jan 21
Departure of Directors or Certain Officers
7:19am