SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
| C/O VERTEX, INC. |
| 2301 RENAISSANCE BLVD |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Vertex, Inc.
[ VERX ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year)
10/03/2024
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Class A Common Stock |
10/03/2024 |
|
C |
|
170,359
|
A |
$0
|
1,225,000 |
I |
By The 2009 Jeffrey R. Westphal Generation Skipping Trust |
| Class A Common Stock |
10/03/2024 |
|
S |
|
1,225,000 |
D |
$39.42
|
0 |
I |
By The 2009 Jeffrey R. Westphal Generation Skipping Trust |
| Class A Common Stock |
|
|
|
|
|
|
|
7,895 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Class B Common Stock |
|
10/03/2024 |
|
C |
|
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170,359
|
|
|
Class A Common Stock |
170,359 |
$0
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6,578,927.237 |
I |
By The 2009 Jeffrey R. Westphal Generation Skipping Trust |
| Class B Common Stock |
|
|
|
|
|
|
|
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Class A Common Stock |
838,000 |
|
838,000 |
D |
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| Class B Common Stock |
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|
|
|
|
|
|
|
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Class A Common Stock |
1,153,756 |
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1,153,756 |
I |
By Rainer J. Westphal 2007 Separate Exempt Trust FBO Jeffrey Westphal |
| Class B Common Stock |
|
|
|
|
|
|
|
|
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Class A Common Stock |
332,244 |
|
332,244 |
I |
By Rainer J. Westphal 2007 Separate Exempt Trust FBO Jeffrey Westphal |
| Explanation of Responses: |
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| Remarks: |
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/s/ Anton Pamer, Attorney-in-Fact |
10/07/2024 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Exhibit 24
Power of Attorney for Section 16 Reporting
Obligations
Know all by these presents,
that the undersigned hereby makes, constitutes and appoints Anton Pamer as the undersigned’s true and lawful attorney-in-fact, with
full power and authority as hereinafter described on behalf of and in the name, place and stead of the undersigned to:
(1) prepare,
execute, acknowledge, deliver and file Forms 3, 4, and 5 (including any amendments thereto) with respect to the securities issued by Vertex,
Inc., a Delaware corporation (the “Company”), with the United States Securities and Exchange Commission, any national securities
exchange and the Company, as considered necessary or advisable under Section 16(a) of the Securities Exchange Act of 1934 and the rules
and regulations promulgated thereunder, as amended from time to time (the “Exchange Act”);
(2) seek
or obtain, as the undersigned’s representative and on the undersigned’s behalf, information on transactions in the Company’s
securities from any third party, including brokers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes
any such person to release any such information to the undersigned and approves and ratifies any such release of information; and
(3) perform
any and all other acts which in the discretion of such attorney(s)-in-fact are necessary or desirable for and on behalf of the undersigned
in connection with the foregoing, including, without limitation, preparing, executing, acknowledging, delivering and filing in the undersigned’s
name and on the undersigned’s behalf, and submitting to the SEC a Form ID, including amendments thereto, and any other documents
necessary or appropriate to obtain and renew codes and passwords enabling the undersigned to make electronic filings with the SEC of reports
required by Section 16(a) of the Exchange Act.
The undersigned hereby grants
to such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper
to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might
or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact,
or such attorney in fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney
and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity
at the request and on behalf of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities
to comply with, or any liability for the failure to comply with, any provision of Section 16 of the Exchange Act.
This Power of Attorney shall
remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s
holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered
to the foregoing attorney-in-fact.
IN WITNESS WHEREOF, the undersigned
has caused this Power of Attorney to be executed as of this 4th day of October, 2024.
| |
/s/ Jeffrey Westphal |
| |
Jeffrey Westphal |
Exhibit 24
Power of Attorney for Section 16 Reporting
Obligations
Know all by these presents,
that the undersigned hereby makes, constitutes and appoints Anton Pamer as the undersigned’s true and lawful attorney-in-fact, with
full power and authority as hereinafter described on behalf of and in the name, place and stead of the undersigned to:
(1) prepare,
execute, acknowledge, deliver and file Forms 3, 4, and 5 (including any amendments thereto) with respect to the securities issued by Vertex,
Inc., a Delaware corporation (the “Company”), with the United States Securities and Exchange Commission, any national securities
exchange and the Company, as considered necessary or advisable under Section 16(a) of the Securities Exchange Act of 1934 and the rules
and regulations promulgated thereunder, as amended from time to time (the “Exchange Act”);
(2) seek
or obtain, as the undersigned’s representative and on the undersigned’s behalf, information on transactions in the Company’s
securities from any third party, including brokers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes
any such person to release any such information to the undersigned and approves and ratifies any such release of information; and
(3) perform
any and all other acts which in the discretion of such attorney(s)-in-fact are necessary or desirable for and on behalf of the undersigned
in connection with the foregoing, including, without limitation, preparing, executing, acknowledging, delivering and filing in the undersigned’s
name and on the undersigned’s behalf, and submitting to the SEC a Form ID, including amendments thereto, and any other documents
necessary or appropriate to obtain and renew codes and passwords enabling the undersigned to make electronic filings with the SEC of reports
required by Section 16(a) of the Exchange Act.
The undersigned hereby grants
to such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper
to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might
or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact,
or such attorney in fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney
and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity
at the request and on behalf of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities
to comply with, or any liability for the failure to comply with, any provision of Section 16 of the Exchange Act.
This Power of Attorney shall
remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s
holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered
to the foregoing attorney-in-fact.
IN WITNESS WHEREOF, the undersigned
has caused this Power of Attorney to be executed as of this 4th day of October, 2024.
| |
/s/ Jeffrey Westphal |
| |
Jeffrey Westphal |
Grafico Azioni Vertex (NASDAQ:VERX)
Storico
Da Mar 2025 a Mar 2025
Grafico Azioni Vertex (NASDAQ:VERX)
Storico
Da Mar 2024 a Mar 2025
