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) 03/22/2011 |
3. Issuer Name and Ticker or Trading Symbol
Rovi Corp [ ROVI ] |
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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 | 50,250 | 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 | ||||
Employee Stock Options (right to buy) | (1) | 06/01/2013 | Common Stock | 35,666 | $13.53 | D | |
Employee Stock Options (right to buy) | (2) | 03/01/2016 | Common Stock | 39,000 | $15.73 | D | |
Employee Stock Options (right to buy) | (3) | 09/01/2016 | Common Stock | 37,500 | $30 | D | |
Employee Stock Options (right to buy) | (4) | 03/01/2017 | Common Stock | 37,500 | $33.43 | D | |
Employee Stock Options (right to buy) | (5) | 04/01/2017 | Common Stock | 60,000 | $36.74 | D | |
Employee Stock Options (right to buy) | (6) | 03/01/2018 | Common Stock | 40,000 | $54.1 | D |
Explanation of Responses: |
1. This option includes 14,416 shares which are currently exercisable. The remaining shares will become exercisable on a monthly basis from April 1, 2011 to June 1, 2011. |
2. This option includes 14,000 shares which are currently exercisable. The remaining shares will become exercisable on a monthly basis from April 1, 2011 to March 1, 2013. |
3. This option includes 6,250 shares which are currently exercisable. The remaining shares will become exercisable on a monthly basis from April 1, 2011 to September 1, 2013. |
4. This option will become exercisable on a monthly basis from April 1, 2011 to March 1, 2014. |
5. The option is exercisable over a four period. One-fourth (1/4) of the shares will become exercisable on April 1, 2011; the remaining shares will become exercisable on a monthly basis from May 1, 2011 to April 1, 2014. |
6. The option is exercisable over a four period. One-fourth (1/4) of the shares will become exercisable on March 1, 2012; the remaining shares will become exercisable on a monthly basis from April 1, 2012 to March 1, 2015. |
Remarks: |
Daybeth Cordoba Attorney-in-Fact for Corey Ferengul | 04/01/2011 | |
** 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. |