SEC Form 4 · accession 0001225208-18-009769
SIRIUS XM HOLDINGS INC. · (SIRI)
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Mooney
Director
Period of report
May 22, 2018
Accepted (ET)
May 23, 2018 · 4:05 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 | May 22, 2018 | M | 61,634 | $3.155 | A | 182,710 | D | |
| Common Stock | May 22, 2018 | M | 57,596 | $1.91 | A | 240,306 | D | |
| Common Stock | May 22, 2018 | M | 57,075 | $3.90 | A | 297,381 | D | |
| Common Stock | May 22, 2018 | M | 49,059 | $3.515 | A | 346,440 | D | |
| Common Stock | May 22, 2018 | M | 29,952 | $2.275 | A | 376,392 | D | |
| Common Stock | May 22, 2018 | M | 25,503 | $0.9494 | A | 401,895 | D | |
| Common Stock | May 22, 2018 | M | 19,875 | $3.96 | A | 421,770 | D | |
| Common Stock | May 22, 2018 | M | 12,200 | $4.86 | A | 433,970 | D | |
| Common StockF1 | May 22, 2018 | F | 133,029 | $6.99 | D | 300,941 | D | |
| Common StockF2 | May 22, 2018 | S | 179,865 | $6.9432 | D | 121,076 | D | |
| Common Stock | holding | — | — | — | 9,100 | I | By Custodian For Child |
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) | $4.86 | May 22, 2018 | M | 12,200 | D | May 19, 2018 | May 19, 2027 | Common Stock | 12,200 | 24,400 | D |
| Stock Option (Right to Buy) | $3.155 | May 22, 2018 | M | 61,634 | D | May 20, 2015 | May 20, 2024 | Common Stock | 61,634 | 0 | D |
| Stock Option (Right to Buy) | $3.90 | May 22, 2018 | M | 57,075 | D | May 20, 2016 | May 20, 2025 | Common Stock | 57,075 | 19,025 | D |
| Stock Option (Right to Buy) | $3.515 | May 22, 2018 | M | 49,059 | D | May 22, 2014 | May 22, 2023 | Common Stock | 49,059 | 0 | D |
| Stock Option (Right to Buy) | $1.91 | May 22, 2018 | M | 57,596 | D | May 23, 2013 | May 23, 2022 | Common Stock | 57,596 | 0 | D |
| Stock Option (Right to Buy) | $3.96 | May 22, 2018 | M | 19,875 | D | May 25, 2017 | May 25, 2026 | Common Stock | 19,875 | 59,625 | D |
| Stock Option (Right to Buy) | $2.275 | May 22, 2018 | M | 29,952 | D | May 26, 2012 | May 26, 2021 | Common Stock | 29,952 | 0 | D |
| Stock Option (Right to Buy) | $0.9494 | May 22, 2018 | M | 25,503 | D | May 27, 2011 | May 27, 2020 | Common Stock | 25,503 | 0 | D |
Explanation of responses
- F1Represents the exercise price of the stock options referenced in Table II which was paid by way of the withholding by the Company of shares with a value equal to the exercise price.
- F2Represents the weighted average sales price for the price increments ranging from $6.93 to $6.95. 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.