SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
HALT PETER

(Last) (First) (Middle)
C/O TIVO CORPORATION
2160 GOLD STREET

(Street)
SAN JOSE CA 95002

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
TiVo Corp [ TIVO ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Financial Officer
3. Date of Earliest Transaction (Month/Day/Year)
03/01/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/01/2019 M 7,000(1) A $0.001 200,023(2) D
Common Stock 03/01/2019 M 4,574(3) A $0.001 204,597 D
Common Stock 03/01/2019 M 5,043(4) A $0.001 209,640 D
Common Stock 03/01/2019 F 6,085(5) D $9.92 203,555 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (6) 03/01/2019 M 7,000(1) 03/01/2019 03/01/2019 Common Stock 7,000 $0.001 91,819 D
Restricted Stock Units (6) 03/01/2019 M 4,574(3) 03/01/2019 03/01/2020 Common Stock 4,574 $0.001 87,245 D
Restricted Stock Units (6) 03/01/2019 M 5,043(4) 03/01/2019 03/01/2019 Common Stock 5,043 $0.001 82,202 D
Explanation of Responses:
1. Granted 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.
2. Includes 640 shares purchased on July 31, 2018 and 1,093 shares purchased on January 31, 2019 pursuant to the company's Employee Stock Purchase Plan (ESPP).
3. Granted 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.
4. Pursuant to a performance award agreement granted on March 1, 2016, performance was measured through September 7, 2016 (the TiVo acquisition date) and vested on a pro rata basis based on the period from the grant date to the TiVo acquisition date compared to the original service period ending on March 1, 2019. The remainder of the award vests 33% on March 1, 2017, March 1, 2018 and March 1, 2019.
5. Shares withheld to satisfy tax withholding obligations upon vesting of restricted stock units.
6. Each restricted stock unit represents a contingent right to receive one share of TIVO common stock.
Remarks:
Anna Felix as Attorney-in-Fact for Peter Halt 03/05/2019
** 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 4 (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).
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