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).
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1. Name and Address of Reporting Person*
America Online, Inc.
22000 AOL Way
Dulles, Virginia 20166-9323
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2. Issuer Name and Ticker or Trading Symbol
TiVo Inc. / TIVO
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Year
September 2000
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [X] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
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7. Individual or Joint/Group Filing (Check applicable line)
[X] Form filed by one Reporting Person
[_] Form filed by more than one Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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<TABLE>
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)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
TiVo Common Stock 9/13/00 P 5,134,722 (A) $23.10625 5,615,029 (D)
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Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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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)
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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
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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
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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
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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
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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
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</TABLE>
(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
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**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).