Filing Details
- Accession Number:
- 0001088825-13-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-02 19:34:02
- Reporting Period:
- 2012-12-31
- Filing Date:
- 2013-01-02
- Accepted Time:
- 2013-01-02 19:34:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1088825 | Tivo Inc | TIVO | Cable & Other Pay Television Services (4841) | 770463167 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1264973 | S Thomas Rogers | 2160 Gold Street Alviso CA 95002 | President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-12-31 | 174,216 | $6.52 | 1,381,042 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-31 | 174,216 | $12.17 | 1,206,826 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-12-31 | 107,628 | $6.74 | 1,314,454 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-31 | 107,628 | $12.22 | 1,206,826 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-12-31 | 29,672 | $6.74 | 1,236,498 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-31 | 29,672 | $12.22 | 1,206,826 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-12-31 | 30,000 | $9.05 | 1,236,826 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-31 | 30,000 | $12.27 | 1,206,826 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-12-31 | 20,000 | $7.40 | 1,226,826 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-31 | 20,000 | $12.27 | 1,206,826 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-12-31 | 112,700 | $6.74 | 1,319,526 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-31 | 112,700 | $12.21 | 1,206,826 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-12-31 | 174,216 | $6.52 | 174,216 | $6.52 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-12-31 | 107,628 | $6.74 | 107,628 | $6.74 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-12-31 | 29,672 | $6.74 | 29,672 | $6.74 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-12-31 | 112,700 | $6.74 | 112,700 | $6.74 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-12-31 | 20,000 | $7.40 | 20,000 | $7.40 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-12-31 | 30,000 | $9.05 | 30,000 | $9.05 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 749,099 | 2005-08-01 | 2015-07-01 | No | 4 | M | Direct |
| 142,372 | 2004-11-11 | 2014-10-11 | No | 4 | M | Direct |
| 112,700 | 2004-11-11 | 2014-10-11 | No | 4 | M | Direct |
| 0 | 2004-11-11 | 2014-10-11 | No | 4 | M | Direct |
| 0 | 2003-10-25 | 2013-09-25 | No | 4 | M | Direct |
| 0 | 2004-04-28 | 2014-03-28 | No | 4 | M | Direct |
Footnotes
- Weighted Average Sales Price - Actual sale prices range from $12.15 - $12.20. The reporting person will provide the SEC staff, the company or a security holder of the company the relevant information regarding sales at each respective price within the range.
- Weighted Average Sales Price - Actual sale prices range from $12.20 - $12.26. The reporting person will provide the SEC staff, the company or a security holder of the company the relevant information regarding sales at each respective price within the range.
- Weighted Average Sales Price - Actual sale prices range from $12.23 - $12.31. The reporting person will provide the SEC staff, the company or a security holder of the company the relevant information regarding sales at each respective price within the range.
- Weighted Average Sales Price - Actual sale prices range from $12.17 - $12.30. The reporting person will provide the SEC staff, the company or a security holder of the company the relevant information regarding sales at each respective price within the range.
- As of December 31, 2012, Mr. Rogers' beneficial ownership after the exercise of the reported transactions is 5,371,417 shares. This Includes 3,694,242 shares Mr. Rogers has the right to acquire pursuant to outstanding options exercisable within 60 days of December 31, 2012. Also included in these numbers are 470,349 shares Mr. Rogers could attain upon the exercises of his stock appreciation rights within 60 days of December 31, 2012 (based on the closing share price of $12.31 on December 31, 2012). Also includes 650,000 shares of restricted stock, which cannot be sold or transferred by Mr. Rogers prior to their vesting. These shares are otherwise generally subject to forfeiture back to TiVo upon Mr. Rogers' cessation of employment or service with TiVo under certain defined circumstances prior to the vesting of the shares. Also included in this amount is 233,310 RSUs that will vest within 60 days of December 31, 2012.
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