SEC Form 4 · accession 0001088825-15-000008
TIVO INC · TIVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas S Rogers
Officer — President and CEO · Director
Period of report
Jan 12, 2015
Accepted (ET)
Jan 14, 2015 · 8:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001088825
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 12, 2015 | M | 37,455 | $6.52 | A | 1,958,656 | D | |
| Common StockF2 | Jan 12, 2015 | S | 37,455 | $10.6166 | D | 1,921,201 | D | |
| Common Stock | Jan 12, 2015 | D | 30,496 | $10.69 | D | 1,890,705 | D | |
| Common Stock | Jan 12, 2015 | F | 7,203 | $10.69 | D | 1,883,502 | D | |
| Common Stock | Jan 12, 2015 | M | 50,000 | $6.52 | A | 1,933,502 | D | |
| Common StockF5 | Jan 13, 2015 | S | 12,301 | $10.7252 | D | 1,921,201 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $6.52 | Jan 12, 2015 | M | 37,455 | D | Aug 1, 2005 | Jul 1, 2015 | Common Stock | 37,455 | 711,644 | D |
| Stock Appreciation Rights | $6.52 | Jan 12, 2015 | M | 50,000 | D | Aug 1, 2005 | Jul 1, 2015 | Common Stock | 50,000 | 950,000 | D |
Explanation of responses
- F1These shares were sold under a 10b5-1 plan that the reporting person entered into on 12/12/2014 and includes only those stock options and stock appreciation rights with an expiration date of 7/1/2015.
- F2Weighted Average Sales Price - Actual sale prices range from $10.58 - $10.67. 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.
- F3The cost of the 50,000 shares was $326,000 equal to 30,496 shares of TiVo stock, with a remainder of 19,504 shares of which 7,203 were withheld for taxes and 12,301 sold on 1/13/15.
- F4These shares have been surrendered to the Company to pay taxes applicable to the exercising of Stock Appreciation Rights.
- F5Weighted Average Sales Price - Actual sale prices range from $10.69 - $10.76. 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.