Filing Details
- Accession Number:
- 0001112679-11-000078
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-06 19:31:50
- Reporting Period:
- 2011-09-02
- Filing Date:
- 2011-09-06
- Accepted Time:
- 2011-09-06 19:31:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1338176 | James Budge | C/O Rovi Corporation 2830 De La Cruz Blvd. Santa Clara CA 95050 | Evp & Cfo | 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 | Disposition | 2011-09-02 | 9,375 | $0.00 | 44,000 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2011-09-02 | 9,375 | $0.00 | 9,375 | No | 5 | G | Indirect | Budge Family Trust |
| Common Stock | Disposition | 2011-09-02 | 9,375 | $46.83 | 0 | No | 4 | S | Indirect | Budge Family Trust |
| Common Stock | Acquisiton | 2011-09-06 | 1,250 | $15.73 | 45,250 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-06 | 1,250 | $45.29 | 44,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-09-06 | 1,250 | $30.00 | 45,250 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-06 | 1,250 | $45.29 | 44,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-09-06 | 1,459 | $33.43 | 45,459 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-06 | 1,459 | $45.29 | 44,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-09-06 | 1,354 | $36.74 | 45,354 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-06 | 1,354 | $45.29 | 44,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 5 | G | Indirect | Budge Family Trust |
| No | 4 | S | Indirect | Budge Family Trust |
| 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 Option (right to buy) | Disposition | 2011-09-06 | 1,250 | $0.00 | 1,250 | $15.73 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-09-06 | 1,250 | $0.00 | 1,250 | $30.00 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-09-06 | 1,459 | $0.00 | 1,459 | $33.43 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-09-06 | 1,354 | $0.00 | 1,354 | $36.74 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 22,500 | 2016-03-01 | No | 4 | M | Direct | |
| 30,000 | 2016-09-01 | No | 4 | M | Direct | |
| 43,750 | 2017-03-01 | No | 4 | M | Direct | |
| 41,980 | 2017-04-01 | No | 4 | M | Direct |
Footnotes
- Reflects 9,375 restricted shares vested on September 1, 2011 which were held directly by Mr. Budge that were transferred into the Budge Family Trust for estate planning purposes. The result is a change in the form of beneficial ownership from direct to indirect.
- Shares sold pursuant to Mr. Budge's 10b5-1 plan dated June 12, 2009.
- Shares sold on the open market are reported as an average sell price per share of $46.83; breakdown of shares sold and per share sale prices are as follows: 100 at $46.25; 100 at $46.39; 200 at $46.40; 100 at $46.47; 500 at $46.49; 200 at $46.60; 100 at $46.62; 100 at $46.63; 500 at $46.64; 100 at $46.72; 100 at $46.73; 300 at $46.74; 300 at $46.79; 700 at $46.80; 300 at $46.81; 700 at $46.82; 100 at $46.84; 100 at $46.85; 200 at $46.87; 200 at $46.90; 6 at $46.91; 100 at $46.92; 100 at $46.93; 200 at $46.94; 100 at $46.95; 1,775 at $46.96; 400 at $46.97; 100 at $46.98; 458 at $46.99; 222 at $47.03; 200 at $47.04; 114 at $47.06; 500 at $47.07 and 100 at $47.11.
- Shares sold pursuant to Mr. Budge's 10b5-1 plan dated June 2, 2011.
- Shares sold on the open market are reported as an average sell price per share of $45.29; breakdown of shares sold and per share sale prices are as follows: 300 at 44.63; 100 at 44.78; 13 at 44.80; 100 at 44.95; 100 at 44.96; 300 at 44.98; 100 at 44.99; 100 at 45.00; 100 at 45.01; 100 at 45.07; 100 at 45.08; 200 at 45.11; 100 at 45.12; 100 at 45.13; 100 at 45.14; 100 at 45.17; 100 at 45.19; 100 at 45.21; 100 at 45.25; 100 at 45.32; 200 at 45.36; 100 at 45.39; 100 at 45.42; 200 at 45.46; 300 at 45.49; 400 at 45.50; 200 at 45.51; 100 at 45.52; 200 at 45.53; 200 at 45.54; 100 at 45.55; 200 at 45.57; 100 at 45.58; 300 at 45.60 and 200 at 45.64.
- 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.
- Granted March 1, 2010; 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 April 1, 2010; 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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