SEC Form 4 · accession 0001593678-19-000014
TiVo Corp · TIVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raghavendra Rau
Officer — Interim President and CEO · Director
Period of report
Feb 1, 2019
Accepted (ET)
Feb 5, 2019 · 6:14 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 | Feb 1, 2019 | M | 41,152 | $0.001 | A | 128,912 | D | |
| Common StockF3 | Feb 1, 2019 | F | 14,564 | $10.92 | D | 114,348 | 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 UnitsF4,F1 | — | Feb 1, 2019 | M | 41,152 | D | — | Aug 1, 2019 | Common Stock | 41,152 | 294,844 | D |
Explanation of responses
- F1Granted August 1, 2018, this restricted stock unit grant vests quarterly with one-fourth (1/4) of the units vesting every three months after the grant date.
- F2Includes 2,464 shares purchased on January 31, 2019 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- F3Shares withheld to satisfy tax withholding obligations upon vesting of restricted stock units.
- F4Each restricted stock unit represents a contingent right to receive one share of TIVO common stock.