Avantax (AVTA) Form 3 BLUCORA / John David Palmer ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person^*

Palmer John David

(Last) (First) (Middle)

6333 NORTH STATE HWY 161

SUITE 600

(Street)

IRVING TX 75038

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/02/2017

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

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

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Principal Actg and Fin Officer

5. 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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	2,830(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	(2)	02/20/2024	Common Stock	19,811	15.9	D

Explanation of Responses:

1. Reflects a grant of restricted stock units ("RSUs") that was made to the reporting person upon joining Blucora, Inc. on February 20, 2017. The RSU grant will vest over a three-year period, with 33.33% of the shares vesting on February 20, 2018, and approximately 16.67% vesting at the end of each six month period thereafter (with the final vesting date to occur on February 20, 2020).

2. The option vests according to the following schedule: 33.33% vests on February 20, 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 20, 2020.

Remarks:

	/s/ John D. Palmer	11/03/2017
	** 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 5 (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.