Filing Details

Accession Number:
0001593678-15-000021
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-03-20 17:33:28
Reporting Period:
2009-09-01
Filing Date:
2015-03-20
Accepted Time:
2015-03-20 17:33:28
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1424454 Rovi Corp ROVI Patent Owners & Lessors (6794) 261739297
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1286180 Peter Halt C/O Rovi Corporation
2830 De La Cruz Blvd.
Santa Clara CA 95050
Svp & Chief Accounting Officer No 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 2009-09-01 9,000 $0.00 12,555 No 4 A Direct
Common Stock Acquisiton 2010-06-15 15,000 $13.53 29,471 No 4 M Direct
Common Stock Disposition 2010-06-15 15,000 $37.75 14,471 No 4 S Direct
Common Stock Disposition 2010-06-15 916 $37.75 13,555 No 4 S Direct
Common Stock Disposition 2010-07-06 1,000 $39.00 12,555 No 4 S Direct
Common Stock Disposition 2010-08-02 1,887 $43.48 10,690 No 4 S Direct
Common Stock Acquisiton 2010-09-01 9,000 $0.00 19,690 No 4 A Direct
Common Stock Disposition 2010-09-02 849 $43.09 18,841 No 4 S Direct
Common Stock Acquisiton 2010-09-17 3,750 $13.53 22,591 No 4 M Direct
Common Stock Disposition 2010-09-17 3,750 $42.97 18,841 No 4 S Direct
Common Stock Disposition 2010-09-17 22 $42.97 18,819 No 4 S Direct
Common Stock Acquisiton 2010-12-20 3,750 $13.53 22,569 No 4 M Direct
Common Stock Disposition 2010-12-20 3,750 $57.11 18,819 No 4 S Direct
Common Stock Acquisiton 2011-01-03 10,000 $13.53 28,819 No 4 M Direct
Common Stock Disposition 2011-01-03 10,000 $62.95 18,819 No 4 S Direct
Common Stock Disposition 2011-02-01 1,938 $60.92 18,819 No 4 S Direct
Common Stock Disposition 2011-02-03 1,668 $63.52 17,151 No 4 S Direct
Common Stock Acquisiton 2011-03-01 775 $0.00 17,926 No 4 A Direct
Common Stock Acquisiton 2011-04-04 3,000 $13.53 20,926 No 4 M Direct
Common Stock Disposition 2011-04-04 3,000 $52.56 17,926 No 4 S Direct
Common Stock Acquisiton 2011-05-11 5,000 $13.53 22,926 No 4 M Direct
Common Stock Disposition 2011-05-11 5,000 $57.22 17,926 No 4 S Direct
Common Stock Acquisiton 2011-06-06 3,500 $13.53 21,426 No 4 M Direct
Common Stock Disposition 2011-06-06 3,500 $55.07 17,926 No 4 S Direct
Common Stock Acquisiton 2011-09-01 9,000 $0.00 26,926 No 4 A Direct
Common Stock Disposition 2011-09-02 2,174 $46.95 24,752 No 4 S Direct
Common Stock Acquisiton 2012-03-01 11,500 $0.00 36,737 No 4 A Direct
Common Stock Disposition 2012-03-02 290 $35.04 36,447 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 A Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 A 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 A Direct
No 4 S Direct
No 4 A Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Acquisiton 2008-06-01 45,000 $0.00 45,000 $13.53
Common Stock Employee Stock Option (Right to Buy) Disposition 2010-06-15 15,000 $0.00 15,000 $13.53
Common Stock Employee Stock Option (Right to Buy) Disposition 2010-09-17 3,750 $0.00 3,750 $13.53
Common Stock Employee Stock Option (Right to Buy) Disposition 2010-12-20 3,750 $0.00 3,750 $13.53
Common Stock Employee Stock Option (Right to Buy) Disposition 2011-01-03 10,000 $0.00 10,000 $13.53
Common Stock Employee Stock Option (Right to Buy) Disposition 2011-04-04 3,000 $0.00 3,000 $13.53
Common Stock Employee Stock Option (Right to Buy) Disposition 2011-05-11 5,000 $0.00 5,000 $13.53
Common Stock Employee Stock Option (Right to Buy) Disposition 2011-06-06 3,500 $0.00 3,500 $13.53
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
45,000 2013-06-01 No 4 A Direct
30,000 2013-06-01 No 4 M Direct
26,250 2013-06-01 No 4 M Direct
22,500 2013-06-01 No 4 M Direct
12,500 2013-06-01 No 4 M Direct
9,500 2013-06-01 No 4 M Direct
4,500 2013-06-01 No 4 M Direct
1,000 2013-06-01 No 4 M Direct
Footnotes
  1. Form 4 is being filed to correct the Company's administrative error resulting in failures to timely file applicable Forms 4 for the transactions and dates shown.
  2. Granted September 1, 2009, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
  3. Includes 1,887 and 1,668 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 30, 2009 and July 31, 2009, respectively.
  4. Includes 1,916 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 29, 2010.
  5. Shares sold pursuant to Mr. Halt's 10b5-1 plan dated May 12, 2010.
  6. Includes 22 shares purchased pursuant to the company's Employee Stock Purchase Plan on July 30, 2010.
  7. Granted September 1, 2010, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
  8. Shares sold to pay tax obligations resulting from the vesting of restricted stock awards..
  9. Sold pursuant to Mr. Halt's 10b5-1 plan dated November 18, 2010..
  10. Sold pursuant to Mr. Halt's 10b5-1 plan dated November 22, 2010..
  11. Includes 1,938 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 31, 2011.
  12. Granted March 1, 2011, this restricted stock award vests 100% on the anniversary of the grant date.
  13. Sold pursuant to Mr. Halt's 10b5-1 plan dated March 13, 2011..
  14. Granted September 1, 2011, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
  15. Granted March 1, 2012, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
  16. Includes 485 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 31, 2012.
  17. Granted June 1, 2008; vests one-sixth (1/6) on the first anniversary of the date of grant, one-third (1/3) vesting in equal monthly increments over second year and the remaining one-half (1/2) vesting in equal monthly increments over the third year.