Avantax (AVTA) Form 4 BLUCORA / Curtis A Campbell ownership change

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

OMB APPROVAL

OMB Number:	3235-0287
Estimated average burden
hours per response:	0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Campbell Curtis A

(Last) (First) (Middle)

3200 OLYMPUS BLVD.

SUITE 100

(Street)

DALLAS TX 75019

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
BLUCORA, INC. [ BCOR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
President Software

3. Date of Earliest Transaction (Month/Day/Year)
01/02/2021

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	01/02/2021		F		1,389(1)	D	$15.19	55,136	D
Common Stock	01/04/2021		A		29,200(2)	A	$0	84,336(3)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	$15	01/04/2021		A		47,450		(4)	01/04/2028	Common Stock	47,450	$0	47,450	D

Explanation of Responses:

1. This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units ("RSUs"). The timing and amount of the transaction were determined by the terms of the applicable RSU award and were not within the control of the reporting person.

2. Reflects a grant of RSUs that was made to the reporting person on January 4, 2021 and that will vest equally over a three-year period on each anniversary of the grant date.

3. Not included in this amount are 53,035 performance-based RSUs of which (i) 12,301 are eligible to vest from 0% to 200% following the end of 2021, (ii) 15,184 are eligible to vest from 0% to 200% following the end of 2022 and (iii) 25,550 are eligible to vest from 0% to 200% following the end of 2023. Vesting for each award is subject to the Issuer's achievement of certain financial goals and certification by the Compensation Committee.

4. Reflects a grant of a non-qualified stock option that was made to the reporting person on January 4, 2021 and that will vest over a three-year period on each anniversary of the grant date.

Remarks:

	/s/ Ann J. Bruder, as Attorney-in-Fact for Curtis A. Campbell	01/05/2021
	** 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.