Initial Statement of Beneficial Ownership (3)
August 03 2017 - 5:55PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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
*
Rozow Stephen
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/1/2017
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3. Issuer Name
and
Ticker or Trading Symbol
NUVASIVE INC [NUVA]
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(Last)
(First)
(Middle)
7475 LUSK BLVD.
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
EVP, Global Process /
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(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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2686
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D
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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RSUs
(2)
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(3)
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(3)
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Common Stock
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3359
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$0.00
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D
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RSUs
(2)
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(4)
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(4)
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Common Stock
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4801
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$0.00
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D
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RSUs
(2)
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(5)
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(5)
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Common Stock
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2643
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$0.00
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D
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Explanation of Responses:
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(1)
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Shares directly held by the Reporting Person. The Reporting Person also holds conditional rights to receive shares pursuant to Issuer equity awards that have not yet vested.
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(2)
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Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting.
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(3)
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This RSU award was granted to the Reporting Person on May 1, 2015. In accordance with the terms of the RSU award, the award vested as to 1,680 shares on each of May 1, 2016 and May 1, 2017, will vest as to 1,680 shares on May 1, 2018 and will vest as to 1,679 shares on May 1, 2019.
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(4)
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This RSU award was granted to the Reporting Person on March 1, 2016. In accordance with the terms of the RSU award, the award will vest in full on March 1, 2019.
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(5)
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This RSU award was granted to the Reporting Person on March 1, 2017. In accordance with the terms of the RSU award, the award will vest in full on March 1, 2020.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Rozow Stephen
7475 LUSK BLVD.
SAN DIEGO, CA 92121
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EVP, Global Process
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Signatures
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/s/ Nathaniel B. Sisitsky, Attorney-in-fact for Stephen Rozow
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8/3/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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