SEC Form 4 · accession 0001699361-18-000001
BLUCORA, INC. · BCOR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert D Oros
Officer — CEO of H.D. Vest, Inc.
Period of report
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 5:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001068875
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 20, 2018 | A | 19,791 | $0.00 | A | 48,637 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $24.00 | Feb 20, 2018 | A | 31,666 | A | — | Feb 20, 2025 | Common Stock | 31,666 | 31,666 | D |
Explanation of responses
- F1Reflects a restricted stock unit grant ("RSUs") that was made to the reporting person on February 20, 2018 and that will vest equally over a three-year period on each anniversary of the grant date.
- F2Not included in this amount are 9,895 performance-based restricted stock units, of which from 0% to 200% are eligible to vest on January 1, 2021 subject to the Issuer's achievement of certain financial goals over a three-year period and certification by the Compensation Committee.
- F3The option vests according to the following schedule: one-third vests on February 20, 2019, an additional one-third vest on February 20, 2020, and the remaining one-third will vest on February 20, 2021, such that the option will be fully vested on February 20, 2021.