Filing Details
- Accession Number:
- 0001112679-11-000007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-02 20:37:45
- Reporting Period:
- 2011-01-31
- Filing Date:
- 2011-02-02
- Accepted Time:
- 2011-02-02 20:37:45
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1424454 | Rovi Corp | ROVI | Periodicals: Publishing Or Publishing & Printing (2721) | 261739297 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1200483 | J Alfred Amoroso | C/O Rovi Corporation 2830 De La Cruz Blvd Santa Clara CA 95050 | 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 | 2011-01-31 | 1,938 | $0.00 | 167,500 | No | 4 | G | Direct | |
| Common Stock | Acquisiton | 2011-02-01 | 23,958 | $13.53 | 191,458 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-01 | 23,958 | $60.95 | 167,500 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-02-01 | 1,667 | $15.52 | 169,167 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-01 | 1,666 | $60.95 | 167,500 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-02-01 | 5,729 | $15.73 | 173,229 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-01 | 5,729 | $60.95 | 167,500 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-02-01 | 2,604 | $30.00 | 170,104 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-01 | 2,604 | $60.95 | 167,500 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | G | 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 | Employee Stock Options (right to buy) | Disposition | 2011-02-01 | 23,958 | $0.00 | 23,958 | $13.53 |
| Common Stock | Employee Stock Options (right to buy) | Disposition | 2011-02-01 | 1,667 | $0.00 | 1,667 | $15.52 |
| Common Stock | Employee Stock Options (right to buy) | Disposition | 2011-02-01 | 5,729 | $0.00 | 5,729 | $15.73 |
| Common Stock | Employee Stock Options (right to buy) | Disposition | 2011-02-01 | 2,604 | $0.00 | 2,604 | $30.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 95,834 | 2013-06-01 | No | 4 | M | Direct | |
| 31,667 | 2015-09-01 | No | 4 | M | Direct | |
| 143,230 | 2016-03-01 | No | 4 | M | Direct | |
| 80,730 | 2016-09-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,938 | Indirect | Amoroso Family Trust |
Footnotes
- Reflects 1,938 shares purchased on 1/31/11 pursuant to the company's Employee Stock Purchase Plan (ESPP), which were held directly by Mr. Amoroso. These ESPP shares were transfered into the Amoroso Family Trust for estate planning purposes, resulting in a change of beneficial ownership from direct to indirect.
- Mr. Amoroso and his wife are co-trustees of the Amoroso Family Trust.
- Shares sold pursuant to Mr. Amoroso's 10b5-1 plan dated November 16, 2010.
- Shares sold on the open market are reported as an average sell price per share of $60.95; breakdown of shares sold and per share sale prices are as follows: 700 at $60.54; 400 at $60.57; 1,700 at $60.62; 500 at $60.63; 100 at $60.64; 2,475 at $60.66; 2,425 at $60.67; 1,930 at $60.68; 2,000 at $60.69; 1,700 at $60.70; 200 at $60.71; 700 at $60.72; 1,013 at $60.73; 1,200 at $60.74; 1,400 at $60.76; 257 at $60.77; 600 at $60.78; 200 at $60.79; 300 at $60.81; 100 at $60.89; 400 at $60.90; 300 at $61.00; 100 at $61.01; 200 at $61.02; 100 at $61.03; 400 at $61.06; 46 at $61.07; 754 at $61.08; 133 at $61.11; 467 at $61.19; 389 at $61.20; 500 at $61.21; 2,600 at $61.23; 11 at $61.25; 100 at $61.27; 100 at $61.28; 200 at $61.29; 100 at $61.30; 400 at $61.31; 200 at $61.32; 200 at $61.33; 100 at $61.34; 300 at $61.36; 400 at $61.42; 900 at $61.45; 500 at $61.46; 790 at $61.47; 100 at $61.49; 58 at $61.50; additional shares sold continued on Footnote (5).
- Shares sold on the open market are reported as an average sell price per share of $60.95 (continued); breakdown of shares sold and per share sale prices are as follows: 200 at $61.52; 432 at $61.53; 600 at $61.54; 868 at $61.55; 200 at $61.57; 400 at $61.61; 110 at $61.67; 400 at $61.68.
- 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.
- Granted September 1, 2008; vests one-fourth (1/4) on the first anniversary of the date of grant and the remaining three-fourths (3/4) vesting in equal monthly increments over the next three years.
- Granted March 1, 2009; vests one-fourth (1/4) on the first anniversary of the date of grant and the remaining three-fourths (3/4) vesting in equal monthly increments over the next three years.
- Granted September 1, 2009; vests one-fourth (1/4) on the first anniversary of the date of grant and the remaining three-fourths (3/4) vesting in equal monthly increments over the next three years.
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