Filing Details
- Accession Number:
- 0001088825-15-000062
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-07 17:48:56
- Reporting Period:
- 2015-04-03
- Filing Date:
- 2015-04-07
- Accepted Time:
- 2015-04-07 17:48:56
- 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 | Disposition | 2015-04-03 | 43,147 | $10.89 | 1,830,692 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2015-04-03 | 25,000 | $10.89 | 1,805,692 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2015-04-03 | 25,000 | $10.89 | 1,780,692 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2015-04-03 | 25,000 | $10.89 | 1,755,692 | No | 4 | D | Direct | |
| Common Stock | Acquisiton | 2015-04-03 | 25,000 | $0.00 | 1,780,692 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-04-03 | 25,000 | $0.00 | 1,805,692 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-04-03 | 25,000 | $0.00 | 1,830,692 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-04-06 | 37,455 | $6.52 | 1,868,147 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-04-06 | 37,455 | $10.91 | 1,830,692 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-04-06 | 50,000 | $6.52 | 1,880,692 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-04-06 | 29,909 | $10.90 | 1,850,783 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2015-04-06 | 10,402 | $10.90 | 1,840,381 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| No | 4 | D | Direct | |
| No | 4 | D | Direct | |
| No | 4 | D | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | D | Direct | |
| No | 4 | F | 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 | 2015-04-06 | 37,455 | $6.52 | 37,455 | $6.52 |
| Common Stock | Restricted Stock Units | Disposition | 2015-04-03 | 25,000 | $0.00 | 25,000 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2015-04-03 | 25,000 | $0.00 | 25,000 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2015-04-03 | 25,000 | $0.00 | 25,000 | $0.00 |
| Common Stock | Stock Appreciation Rights | Disposition | 2015-04-06 | 50,000 | $10.90 | 50,000 | $6.52 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 412,014 | 2005-08-01 | 2015-07-01 | No | 4 | M | Direct |
| 125,000 | 2015-04-03 | 2019-04-03 | No | 4 | M | Direct |
| 100,000 | 2015-04-03 | 2019-04-03 | No | 4 | M | Direct |
| 75,000 | 2015-04-03 | 2019-04-03 | No | 4 | M | Direct |
| 550,000 | 2005-08-01 | 2015-07-01 | No | 4 | M | Direct |
Footnotes
- These shares have been surrendered to the Company to pay taxes applicable to the vesting of restricted stock.
- These shares were sold under a 10b5-1 plan that the reporting person most recently amended on January 15, 2015 and includes only those stock options and stock appreciation rights with an expiration date of 7/1/2015.
- Weighted Average Sales Price - Actual sale prices range from $10.87 - $10.99. 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.
- The cost of the 50,000 shares was $326,000 equal to 29,909 shares of TiVo stock, with a remainder of 20,091 shares of which 10,402 were withheld for taxes.
- These shares have been surrendered to the Company to pay taxes applicable to the exercising of Stock Appreciation Rights.
- Each Restricted Stock Unit was the economic equivalent of one share of TiVo common stock. The reporting person settled his shares of Restricted stock units in cash.
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