SEC Form 4 · accession 0001699361-18-000010
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
Nov 5, 2018
Accepted (ET)
Nov 7, 2018 · 4:30 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 Stock | Nov 5, 2018 | M | 5,445 | $15.60 | A | 48,590 | D | |
| Common StockF2 | Nov 5, 2018 | S | 6,075 | $30.3121 | D | 42,515 | 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 | $15.60 | Nov 5, 2018 | M | 5,445 | D | — | Feb 28, 2024 | Common Stock | 5,445 | 185,588 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 27, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares sold in multiple transactions at prices ranging from $29.99 to $30.83. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price.
- F3The option vests according to the following schedule: 33.33% vested on February 28, 2018, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on February 28, 2020.