Sec Form 4 Filing - HALT PETER @ Rovi Corp - 2009-09-01

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
HALT PETER
2. Issuer Name and Ticker or Trading Symbol
Rovi Corp [ ROVI]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
SVP & Chief Accounting Officer
(Last) (First) (Middle)
C/O ROVI CORPORATION, 2830 DE LA CRUZ BLVD.
3. Date of Earliest Transaction (MM/DD/YY)
09/01/2009
(Street)
SANTA CLARA, CA95050
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 09/01/2009( 1 ) A( 1 ) 9,000 ( 2 ) A $ 0.001 12,555 ( 3 ) D
Common Stock 06/15/2010( 1 ) M( 1 ) 15,000 A $ 13.53 29,471 ( 4 ) D
Common Stock 06/15/2010( 1 ) S( 1 ) 15,000 D $ 37.75 14,471 D
Common Stock 06/15/2010( 1 ) S( 1 ) 916 D $ 37.75 13,555 D
Common Stock 07/06/2010( 1 ) S( 1 ) 1,000 ( 5 ) D $ 39 12,555 D
Common Stock 08/02/2010( 1 ) S( 1 ) 1,887 ( 5 ) D $ 43.48 10,690 ( 6 ) D
Common Stock 09/01/2010( 1 ) A( 1 ) 9,000 ( 7 ) A $ 0.001 19,690 D
Common Stock 09/02/2010( 1 ) S( 1 ) 849 ( 8 ) D $ 43.09 18,841 D
Common Stock 09/17/2010( 1 ) M( 1 ) 3,750 A $ 13.53 22,591 D
Common Stock 09/17/2010( 1 ) S( 1 ) 3,750 D $ 42.97 18,841 D
Common Stock 09/17/2010( 1 ) S( 1 ) 22 D $ 42.97 18,819 D
Common Stock 12/20/2010( 1 ) M( 1 ) 3,750 A $ 13.53 22,569 D
Common Stock 12/20/2010( 1 ) S( 1 ) 3,750 ( 9 ) D $ 57.11 18,819 D
Common Stock 01/03/2011( 1 ) M( 1 ) 10,000 A $ 13.53 28,819 D
Common Stock 01/03/2011( 1 ) S( 1 ) 10,000 ( 10 ) D $ 62.95 18,819 D
Common Stock 02/01/2011( 1 ) S( 1 ) 1,938 D $ 60.92 18,819 ( 11 ) D
Common Stock 02/03/2011( 1 ) S( 1 ) 1,668 D $ 63.52 17,151 D
Common Stock 03/01/2011( 1 ) A( 1 ) 775 ( 12 ) A $ 0.001 17,926 D
Common Stock 04/04/2011( 1 ) M( 1 ) 3,000 A $ 13.53 20,926 D
Common Stock 04/04/2011( 1 ) S( 1 ) 3,000 ( 10 ) D $ 52.56 17,926 D
Common Stock 05/11/2011( 1 ) M( 1 ) 5,000 A $ 13.53 22,926 D
Common Stock 05/11/2011( 1 ) S( 1 ) 5,000 ( 13 ) D $ 57.22 17,926 D
Common Stock 06/06/2011( 1 ) M( 1 ) 3,500 A $ 13.53 21,426 D
Common Stock 06/06/2011( 1 ) S( 1 ) 3,500 D $ 55.07 17,926 D
Common Stock 09/01/2011( 1 ) A( 1 ) 9,000 ( 14 ) A $ 0.001 26,926 D
Common Stock 09/02/2011( 1 ) S( 1 ) 2,174 ( 8 ) D $ 46.95 24,752 D
Common Stock 03/01/2012( 1 ) A( 1 ) 11,500 ( 15 ) A $ 0.001 36,737 ( 16 ) D
Common Stock 03/02/2012( 1 ) S( 1 ) 290 ( 8 ) D $ 35.04 36,447 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Employee Stock Option (Right to Buy) $ 13.53 06/01/2008( 1 ) A( 1 ) 45,000 ( 17 ) 06/01/2013 Common Stock 45,000 $ 0 45,000 D
Employee Stock Option (Right to Buy) $ 13.53 06/15/2010( 1 ) M( 1 ) 15,000 ( 17 ) 06/01/2013 Common Stock 15,000 $ 0 30,000 D
Employee Stock Option (Right to Buy) $ 13.53 09/17/2010( 1 ) M( 1 ) 3,750 ( 17 ) 06/01/2013 Common Stock 3,750 $ 0 26,250 D
Employee Stock Option (Right to Buy) $ 13.53 12/20/2010( 1 ) M( 1 ) 3,750 ( 9 ) ( 17 ) 06/01/2013 Common Stock 3,750 $ 0 22,500 D
Employee Stock Option (Right to Buy) $ 13.53 01/03/2011( 1 ) M( 1 ) 10,000 ( 10 ) ( 17 ) 06/01/2013 Common Stock 10,000 $ 0 12,500 D
Employee Stock Option (Right to Buy) $ 13.53 04/04/2011( 1 ) M( 1 ) 3,000 ( 10 ) ( 17 ) 06/01/2013 Common Stock 3,000 $ 0 9,500 D
Employee Stock Option (Right to Buy) $ 13.53 05/11/2011( 1 ) M( 1 ) 5,000 ( 13 ) ( 17 ) 06/01/2013 Common Stock 5,000 $ 0 4,500 D
Employee Stock Option (Right to Buy) $ 13.53 06/06/2011( 1 ) M( 1 ) 3,500 ( 17 ) 06/01/2013 Common Stock 3,500 $ 0 1,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
HALT PETER
C/O ROVI CORPORATION
2830 DE LA CRUZ BLVD.
SANTA CLARA, CA95050
SVP & Chief Accounting Officer
Signatures
Bonnie J. Bigelow Attorney-in-Fact for Peter Halt 03/20/2015
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Form 4 is being filed to correct the Company's administrative error resulting in failures to timely file applicable Forms 4 for the transactions and dates shown.
( 2 )Granted September 1, 2009, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
( 3 )Includes 1,887 and 1,668 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 30, 2009 and July 31, 2009, respectively.
( 4 )Includes 1,916 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 29, 2010.
( 5 )Shares sold pursuant to Mr. Halt's 10b5-1 plan dated May 12, 2010.
( 6 )Includes 22 shares purchased pursuant to the company's Employee Stock Purchase Plan on July 30, 2010.
( 7 )Granted September 1, 2010, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
( 8 )Shares sold to pay tax obligations resulting from the vesting of restricted stock awards..
( 9 )Sold pursuant to Mr. Halt's 10b5-1 plan dated November 18, 2010..
( 10 )Sold pursuant to Mr. Halt's 10b5-1 plan dated November 22, 2010..
( 11 )Includes 1,938 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 31, 2011.
( 12 )Granted March 1, 2011, this restricted stock award vests 100% on the anniversary of the grant date.
( 13 )Sold pursuant to Mr. Halt's 10b5-1 plan dated March 13, 2011..
( 14 )Granted September 1, 2011, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
( 15 )Granted March 1, 2012, this restricted stock award vests over four years with 25% vesting on each anniversary of the grant date.
( 16 )Includes 485 shares purchased pursuant to the company's Employee Stock Purchase Plan on January 31, 2012.
( 17 )Granted June 1, 2008; vests one-sixth (1/6) on the first anniversary of the date of grant, one-third (1/3) vesting in equal monthly increments over second year and the remaining one-half (1/2) vesting in equal monthly increments over the third year.

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