SEC Form 4 · accession 0001593678-17-000012
TiVo Corp · TIVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wesley Gutierrez
Officer — CAO & Treasurer
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 5:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001675820
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 1, 2017 | M | 2,500 | $0.001 | A | 26,955 | D | |
| Common StockF3 | Mar 1, 2017 | M | 2,625 | $0.001 | A | 29,580 | D | |
| Common StockF4 | Mar 1, 2017 | F | 4,436 | $18.95 | D | 25,144 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F5 | — | Mar 1, 2017 | M | 2,500 | D | Mar 1, 2017 | Mar 1, 2019 | Common Stock | 2,500 | 5,000 | D |
| Restricted Stock UnitsF3,F5 | — | Mar 1, 2017 | M | 2,625 | D | Mar 1, 2017 | Mar 1, 2020 | Common Stock | 2,625 | 7,875 | D |
Explanation of responses
- F1Granted March 1, 2015, this restricted stock unit grant vests over four years with a 25% vesting on each of the annual anniversaries of the grant date.
- F2Includes 2,370 shares purchased on January 31, 2017 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- F3Granted March 1, 2016, this restricted stock unit grant vests over four years with a 25% vesting on each of the annual anniversaries of the grant date.
- F4Shares withheld to satisfy tax obligations resulting from the vesting of restricted stock awards.
- F5Each restricted stock unit represents a contingent right to receive one share of TIVO common stock.