SEC Form 4 · accession 0001593678-15-000021
Rovi Corp · ROVI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Halt
Officer — SVP & Chief Accounting Officer
Period of report
Sep 1, 2009
Accepted (ET)
Mar 20, 2015 · 5:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001424454
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Sep 1, 2009 | A | 9,000 | $0.001 | A | 12,555 | D | |
| Common StockF1,F4 | Jun 15, 2010 | M | 15,000 | $13.53 | A | 29,471 | D | |
| Common StockF1 | Jun 15, 2010 | S | 15,000 | $37.75 | D | 14,471 | D | |
| Common StockF1 | Jun 15, 2010 | S | 916 | $37.75 | D | 13,555 | D | |
| Common StockF1,F5 | Jul 6, 2010 | S | 1,000 | $39.00 | D | 12,555 | D | |
| Common StockF1,F5,F6 | Aug 2, 2010 | S | 1,887 | $43.48 | D | 10,690 | D | |
| Common StockF1,F7 | Sep 1, 2010 | A | 9,000 | $0.001 | A | 19,690 | D | |
| Common StockF1,F8 | Sep 2, 2010 | S | 849 | $43.09 | D | 18,841 | D | |
| Common StockF1 | Sep 17, 2010 | M | 3,750 | $13.53 | A | 22,591 | D | |
| Common StockF1 | Sep 17, 2010 | S | 3,750 | $42.97 | D | 18,841 | D | |
| Common StockF1 | Sep 17, 2010 | S | 22 | $42.97 | D | 18,819 | D | |
| Common StockF1 | Dec 20, 2010 | M | 3,750 | $13.53 | A | 22,569 | D | |
| Common StockF1,F9 | Dec 20, 2010 | S | 3,750 | $57.11 | D | 18,819 | D | |
| Common StockF1 | Jan 3, 2011 | M | 10,000 | $13.53 | A | 28,819 | D | |
| Common StockF1,F10 | Jan 3, 2011 | S | 10,000 | $62.95 | D | 18,819 | D | |
| Common StockF1,F11 | Feb 1, 2011 | S | 1,938 | $60.92 | D | 18,819 | D | |
| Common StockF1 | Feb 3, 2011 | S | 1,668 | $63.52 | D | 17,151 | D | |
| Common StockF1,F12 | Mar 1, 2011 | A | 775 | $0.001 | A | 17,926 | D | |
| Common StockF1 | Apr 4, 2011 | M | 3,000 | $13.53 | A | 20,926 | D | |
| Common StockF1,F10 | Apr 4, 2011 | S | 3,000 | $52.56 | D | 17,926 | D | |
| Common StockF1 | May 11, 2011 | M | 5,000 | $13.53 | A | 22,926 | D | |
| Common StockF1,F13 | May 11, 2011 | S | 5,000 | $57.22 | D | 17,926 | D | |
| Common StockF1 | Jun 6, 2011 | M | 3,500 | $13.53 | A | 21,426 | D | |
| Common StockF1 | Jun 6, 2011 | S | 3,500 | $55.07 | D | 17,926 | D | |
| Common StockF1,F14 | Sep 1, 2011 | A | 9,000 | $0.001 | A | 26,926 | D | |
| Common StockF1,F8 | Sep 2, 2011 | S | 2,174 | $46.95 | D | 24,752 | D | |
| Common StockF1,F15,F16 | Mar 1, 2012 | A | 11,500 | $0.001 | A | 36,737 | D | |
| Common StockF1,F8 | Mar 2, 2012 | S | 290 | $35.04 | D | 36,447 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1,F17 | $13.53 | Jun 1, 2008 | A | 45,000 | A | — | Jun 1, 2013 | Common Stock | 45,000 | 45,000 | D |
| Employee Stock Option (Right to Buy)F1,F17 | $13.53 | Jun 15, 2010 | M | 15,000 | D | — | Jun 1, 2013 | Common Stock | 15,000 | 30,000 | D |
| Employee Stock Option (Right to Buy)F1,F17 | $13.53 | Sep 17, 2010 | M | 3,750 | D | — | Jun 1, 2013 | Common Stock | 3,750 | 26,250 | D |
| Employee Stock Option (Right to Buy)F1,F9,F17 | $13.53 | Dec 20, 2010 | M | 3,750 | D | — | Jun 1, 2013 | Common Stock | 3,750 | 22,500 | D |
| Employee Stock Option (Right to Buy)F1,F10,F17 | $13.53 | Jan 3, 2011 | M | 10,000 | D | — | Jun 1, 2013 | Common Stock | 10,000 | 12,500 | D |
| Employee Stock Option (Right to Buy)F1,F10,F17 | $13.53 | Apr 4, 2011 | M | 3,000 | D | — | Jun 1, 2013 | Common Stock | 3,000 | 9,500 | D |
| Employee Stock Option (Right to Buy)F1,F13,F17 | $13.53 | May 11, 2011 | M | 5,000 | D | — | Jun 1, 2013 | Common Stock | 5,000 | 4,500 | D |
| Employee Stock Option (Right to Buy)F1,F17 | $13.53 | Jun 6, 2011 | M | 3,500 | D | — | Jun 1, 2013 | Common Stock | 3,500 | 1,000 | D |
Explanation of responses
- F1Form 4 is being filed to correct the Company's administrative error resulting in failures to timely file applicable Forms 4 for the transactions and dates shown.
- F10Sold pursuant to Mr. Halt's 10b5-1 plan dated November 22, 2010 ..
- F11Includes 1,938 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 31, 2011.
- F12Granted March 1, 2011, this restricted stock award vests 100% on the anniversary of the grant date.
- F13Sold pursuant to Mr. Halt's 10b5-1 plan dated March 13, 2011 ..
- F14Granted September 1, 2011, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
- F15Granted March 1, 2012, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
- F16Includes 485 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 31, 2012.
- F17Granted 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.
- F2Granted September 1, 2009, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
- F3Includes 1,887 and 1,668 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 30, 2009 and July 31, 2009, respectively.
- F4Includes 1,916 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 29, 2010.
- F5Shares sold pursuant to Mr. Halt's 10b5-1 plan dated May 12, 2010.
- F6Includes 22 shares purchased pursuant to the company's Employee Stock Purchase Plan on July 30, 2010.
- F7Granted September 1, 2010, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
- F8Shares sold to pay tax obligations resulting from the vesting of restricted stock awards ..
- F9Sold pursuant to Mr. Halt's 10b5-1 plan dated November 18, 2010 ..