SEC Form 4 · accession 0001225208-17-013064
SIRIUS XM HOLDINGS INC. · (SIRI)
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Arthur Cady
Officer — EVP, Product and Operations
Period of report
Jul 31, 2017
Accepted (ET)
Aug 1, 2017 · 4:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000908937
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 31, 2017 | M | 1,241,749 | $3.95 | A | 1,584,732 | D | |
| Common StockF1 | Jul 31, 2017 | F | 21,737 | $5.81 | D | 1,562,995 | D | |
| Common Stock | Jul 31, 2017 | S | 197,594 | $5.85 | D | 1,365,401 | D | |
| Common StockF2 | Jul 31, 2017 | F | 1,044,155 | $5.86 | D | 321,246 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $3.95 | Jul 31, 2017 | M | 1,241,749 | D | Jul 29, 2016 | Jul 29, 2025 | Common Stock | 1,241,749 | 620,874 | D |
Explanation of responses
- F1Represents the surrender of common stock to the Company to cover withholding taxes upon the vesting of restricted stock units.
- F2Represents the exercise price of the stock option referenced in Table II and associated taxes which was paid by way of the withholding by the Company of shares with a value equal to the exercise price and such taxes.