SEC Form 4 · accession 0001088825-15-000087
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
Apr 27, 2015
Accepted (ET)
Apr 29, 2015 · 4:41 pm EDT
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 | Apr 27, 2015 | M | 37,465 | $6.52 | A | 2,047,744 | D | |
| Common StockF2 | Apr 27, 2015 | S | 37,465 | $11.3522 | D | 2,010,279 | D | |
| Common Stock | Apr 27, 2015 | M | 50,000 | $6.52 | A | 2,060,279 | D | |
| Common Stock | Apr 27, 2015 | D | 28,876 | $11.29 | D | 2,031,403 | D | |
| Common Stock | Apr 27, 2015 | F | 10,937 | $11.29 | D | 2,020,466 | 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 | Apr 27, 2015 | M | 37,465 | D | Aug 1, 2005 | Jul 1, 2015 | Common Stock | 37,465 | 299,639 | D |
| Stock Appreciation Rights | $6.52 | Apr 27, 2015 | M | 50,000 | D | Aug 1, 2005 | Jul 1, 2015 | Common Stock | 50,000 | 400,000 | D |
Explanation of responses
- F1These 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 July 1, 2015.
- F2Weighted Average Sales Price - Actual sale prices range from $11.28 to $11.39. 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 28,876 shares of TiVo stock, with a remainder of 21,124 shares of which 10,937 were withheld for taxes.
- F4These shares have been surrendered to the Company to pay taxes applicable to the exercising of Stock Appreciation Rights.