FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/21/2010 |
3. Issuer Name and Ticker or Trading Symbol
TIVO INC [ TIVO ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 132,499(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Incentive Stock Option (right to buy) | (2) | 03/21/2017 | Common Stock | 2,500(3) | $6.18 | D | |
Incentive Stock Option (right to buy) | (4) | 10/08/2016 | Common Stock | 13,275(5) | $6.78 | D | |
Incentive Stock Option (right to buy) | (6) | 03/26/2018 | Common Stock | 10,313(7) | $8.94 | D | |
Non-Qualified Stock Option (right to buy) | (2) | 03/21/2017 | Common Stock | 10,000(8) | $6.18 | D | |
Non-Qualified Stock Option (right to buy) | (4) | 10/08/2016 | Common Stock | 6,085(9) | $6.78 | D | |
Non-Qualified Stock Option (right to buy) | (6) | 03/26/2018 | Common Stock | 8,250(10) | $8.94 | D |
Explanation of Responses: |
1. This is comprised of 17,499 unvested Restricted Stock Units granted on 2/17/2009 of which 3,501 units will vest on 2/17/2011 and 6,999 units will vest on 2/17/2012 and 2/17/2013; 75,000 Restricted stock units granted on 11/16/2009 of which 25,000 units will vest on 11/16/2010, 11/16/2011, and 11/16/2012; and 40,000 Restricted Stock Award granted on 03/26/2010 of which 6,668 shares will vest on 3/26/2011 and 3/26/2012 and 13,332 shares will vest on 3/26/2013 and 3/26/2014. |
2. This option was granted on 3/21/2007 and vests 1/48 per month for 48 months. |
3. This option consists of 2,500 shares all of which are unvested. |
4. This option was granted on 10/9/2006; 25% vested on the first anniversary of the grant with the remaining 75% vesting monthly for 36 months. |
5. This option consists of 7,375 shares that are vested and exercisable and 5,900 shares that have not yet been vested. |
6. This option was granted on 3/26/2008 and vests 1/48 per month for 48 months. |
7. This option consists of 10,313 shares all of which are unvested. |
8. This option consists of 5,000 shares that are vested and exercisable and 5,000 shares that have not yet been vested. |
9. This option consists of 3,651 shares that are vested and exercisable and 2,434 shares that have not yet been vested. |
10. This option consists of 3,437 shares that are vested and exercisable and 4,813 shares that have not yet been vested. |
By: Attorney-in-Fact Sheryl Andersen For: Charles D Phillips | 06/25/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |