-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NHPbsyPpWVpidgfz6cSs/9j6Uw5oLlM+qjeEQ8TZvo6B+FPeLqFdrUt72BMQKDeF 9CnTfqztxwSnx4X/0TXApQ== /in/edgar/work/0000883780-00-000100/0000883780-00-000100.txt : 20000927 0000883780-00-000100.hdr.sgml : 20000927 ACCESSION NUMBER: 0000883780-00-000100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000913 FILED AS OF DATE: 20000922 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TIVO INC CENTRAL INDEX KEY: 0001088825 STANDARD INDUSTRIAL CLASSIFICATION: [4841 ] IRS NUMBER: 770453167 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-27141 FILM NUMBER: 727354 BUSINESS ADDRESS: STREET 1: C/O COOLEY GODWARD LLP STREET 2: FIVE PALO ALTO SQUARE 3000 EL CAMINO REA CITY: PALO ALTO STATE: CA ZIP: 94306-2155 BUSINESS PHONE: 4087476080 MAIL ADDRESS: STREET 1: 894 ROSS DRIVE STREET 2: SUITE 100 CITY: SUNNYVALE STATE: CA ZIP: 94089 COMPANY DATA: COMPANY CONFORMED NAME: AMERICA ONLINE INC CENTRAL INDEX KEY: 0000883780 STANDARD INDUSTRIAL CLASSIFICATION: [7370 ]OWNER IRS NUMBER: 541322110 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: AMERICA ONLINE, INC. STREET 2: 22000 AOL WAY CITY: DULLES STATE: VA ZIP: 20166 BUSINESS PHONE: 7032651000 MAIL ADDRESS: STREET 1: 22000 AOL WAY CITY: DULLES STATE: VA ZIP: 20166 4 1 0001.txt STATEMENT OF BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* America Online, Inc. 22000 AOL Way Dulles, Virginia 20166-9323 ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol TiVo Inc. / TIVO ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year September 2000 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. 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 ================================================================================ 6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ TiVo Common Stock 9/13/00 P 5,134,722 (A) $23.10625 5,615,029 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================ 10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Tivo Series A Common 2,711,861 Convertible Stock $30.00 9/13/00 P 2,711,861 9/13/00 Stock (2) $30.00 2,711,861 D - ------------------------------------------------------------------------------------------------------------------------------------ TiVo 2,603,903 Common 2,603,903 Warrant (1) 9/13/00 P (2) (3) 9/13/03 Stock (2) $ 0.00 2,603,903 D - ------------------------------------------------------------------------------------------------------------------------------------ TiVo 2,603,903 Common 2,603,903 Warrant (1) 9/13/00 P (2) (3) 9/13/03 Stock (2) $ 0.00 2,603,903 D - ------------------------------------------------------------------------------------------------------------------------------------ TiVo $23.10625 2,308,475 Common 2,308,475 Warrant (2) 9/13/00 P (2) 9/13/00 12/31/01 Stock (2) $ 0.00 2,308,475 D - ------------------------------------------------------------------------------------------------------------------------------------ TiVo $30.00 295,428 Common 295,428 Warrant (2) 9/13/00 P (2) 3/13/00 12/31/03 Stock (2) $ 0.00 295,428 D - ------------------------------------------------------------------------------------------------------------------------------------
(1) Exercise price equal to 90% of the average of the last reported trading prices of TiVo Common Stock on the Nasdaq National Market System for the ten consecutive trading days preceding exercise. (2) Subject to anti-dilution adjustments set forth in the Warrants or preferred stock, as applicable. (3) Warrant is exercisable for a period of six months following satisfaction of certain performance requirements. /s/ J. Michael Kelly September 22, 2000 - --------------------------------------------- ---------------- **Signature of Reporting Person Date By: J. Michael Kelly, SVP and Chief Financial Officer, on behalf of America Online, Inc. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -----END PRIVACY-ENHANCED MESSAGE-----