SEC Form 4 · accession 0001593678-19-000016
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, 2019
Accepted (ET)
Mar 5, 2019 · 5:20 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, 2019 | M | 2,500 | $0.001 | A | 34,142 | D | |
| Common StockF3 | Mar 1, 2019 | M | 2,625 | $0.001 | A | 36,767 | D | |
| Common StockF4 | Mar 1, 2019 | F | 1,929 | $9.92 | D | 34,838 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Retricted Stock UnitsF1,F5 | — | Mar 1, 2019 | M | 2,500 | D | Mar 1, 2019 | Mar 1, 2019 | Common Stock | 2,500 | 44,886 | D |
| Restricted Stock UnitsF3,F5 | — | Mar 1, 2019 | M | 2,625 | D | Mar 1, 2019 | Mar 1, 2020 | Common Stock | 2,625 | 42,261 | D |
Explanation of responses
- F1Granted March 1, 2015, this restricted stock unit grant vests over four years with 25% vesting on each of the annual anniversaries of the grant date.
- F2Includes 1,277 shares purchased on July 31, 2018 and 840 shares purchased on January 31, 2019 pursuant to the company's Employee Stock Purchase Plan (ESPP).
- F3Granted March 1, 2016, this restricted stock unit grant vests over four years with 25% vesting on each of the annual anniversaries of the grant date.
- F4Shares withheld to satisfy tax withholding obligations upon vesting of restricted stock units.
- F5Each restricted stock unit represents a contingent right to receive one share of TIVO common stock.