Initial Statement of Beneficial Ownership (3)
June 13 2018 - 4:22PM
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
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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
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Kosharek Jennifer
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/12/2018
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3. Issuer Name
and
Ticker or Trading Symbol
Nuvectra Corp [NVTR]
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(Last)
(First)
(Middle)
5830 GRANITE PARKWAY, 11TH FLOOR
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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)
Principal Accounting Officer /
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(Street)
PLANO, TX 75024
(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
(1)
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2486
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D
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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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Restricted Stock Unit
(2)
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7/7/2018
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4/7/2019
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Common Stock
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697
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$0.0000
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D
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Restricted Stock Unit
(3)
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8/12/2018
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5/12/2020
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Common Stock
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1399
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$0.0000
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D
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Restricted Stock Unit
(4)
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8/12/2018
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5/12/2020
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Common Stock
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2123
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$0.0000
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D
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Restricted Stock Unit
(5)
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5/12/2019
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5/12/2021
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Common Stock
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2042
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$0.0000
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D
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Stock Option (right to buy)
(6)
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4/7/2017
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4/8/2026
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Common Stock
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2095
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$6.8700
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D
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Stock Option (right to buy)
(7)
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5/12/2018
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3/17/2027
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Common Stock
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2100
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$6.3500
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D
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Stock Option (right to buy)
(8)
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5/12/2018
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4/10/2027
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Common Stock
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6369
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$6.4800
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D
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Stock Option (right to buy)
(9)
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5/12/2019
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4/9/2028
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Common Stock
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4083
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$13.4700
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D
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Explanation of Responses:
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(1)
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Common stock received from the previous vesting of restricted stock unit grants.
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(2)
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Restricted stock units granted April 8, 2016. Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Approximately one third vested April 7, 2017, and approximately one third vested in four approximately equal quarterly installments thereafter. The remaining one third balance is scheduled to vest in four approximately equal quarterly installments beginning July 7, 2018.
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(3)
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Restricted stock units granted March 17, 2017. Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Approximately one third vested May 12, 2018. The remaining two thirds balance is scheduled to vest in eight approximately equal quarterly installments thereafter.
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(4)
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Restricted stock units granted April 10, 2017. Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Approximately one third vested May 12, 2018. The remaining two thirds balance is scheduled to vest in eight approximately equal quarterly installments thereafter.
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(5)
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Restricted stock units granted April 9, 2018. Each restricted stock unit represents the right to receive, at settlement, one share of common stock. Approximately one third is scheduled to vest May 12, 2019. The remaining two thirds balance is scheduled to vest in eight approximately equal quarterly installments thereafter.
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(6)
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Stock options granted April 8, 2016. Approximately one third vested April 7, 2017, and approximately one third vested in four approximately equal quarterly installments thereafter. The remaining one third balance is scheduled to vest in four approximately equal quarterly installments beginning July 7, 2018.
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(7)
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Stock options granted March 17, 2017. Approximately one third vested May 12, 2018. The remaining two thirds balance is scheduled to vest in eight approximately equal quarterly installments thereafter.
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(8)
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Stock options granted April 10, 2017. Approximately one third vested May 12, 2018. The remaining two thirds balance is scheduled to vest in eight approximately equal quarterly installments thereafter.
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(9)
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Stock options granted April 9, 2018. Approximately one third is scheduled to vest May 12, 2019. The remaining two thirds balance is scheduled to vest in eight approximately equal quarterly installments thereafter.
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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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Kosharek Jennifer
5830 GRANITE PARKWAY, 11TH FLOOR
PLANO, TX 75024
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Principal Accounting Officer
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Signatures
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/s/ Melissa G Beare as attorney in fact for Jennifer Kosharek
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6/13/2018
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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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