SEC Form 4 · accession 0001225208-18-002216
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
Feb 6, 2018
Accepted (ET)
Feb 7, 2018 · 4:16 pm EST
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 | Feb 6, 2018 | M | 235,796 | $3.55 | A | 603,763 | D | |
| Common Stock | Feb 6, 2018 | M | 87,841 | $4.75 | A | 691,604 | D | |
| Common StockF1 | Feb 6, 2018 | S | 57,708 | $5.9036 | D | 633,896 | D | |
| Common StockF2 | Feb 6, 2018 | F | 265,929 | $5.93 | D | 367,967 | 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) | $4.75 | Feb 6, 2018 | M | 87,841 | D | Feb 2, 2018 | Feb 2, 2027 | Common Stock | 87,841 | 175,681 | D |
| Stock Option (Right to Buy) | $3.55 | Feb 6, 2018 | M | 235,796 | D | Feb 3, 2015 | Feb 3, 2024 | Common Stock | 235,796 | 0 | D |
Explanation of responses
- F1Represents the weighted average sales price for the price increments ranging from $5.9010 to $5.9150. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- 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.