Filing Details
- Accession Number:
- 0001716837-19-000090
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-24 19:39:56
- Reporting Period:
- 2019-05-22
- Accepted Time:
- 2019-05-24 19:39:56
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1428439 | Roku Inc | ROKU | Cable & Other Pay Television Services (4841) | 262087865 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1513957 | S. Alan Henricks | C/O Roku, Inc. 150 Winchester Circle Los Gatos CA 95032 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2019-05-23 | 6,000 | $2.28 | 9,000 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2019-05-23 | 6,000 | $90.00 | 3,000 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2019-05-24 | 2,222 | $0.00 | 5,222 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Restricted Stock Unit | Acquisiton | 2019-05-22 | 1,065 | $0.00 | 1,065 | $0.00 |
| Class A Common Stock | Stock Option (right to buy) | Acquisiton | 2019-05-22 | 2,937 | $88.02 | 2,937 | $88.02 |
| Class B Common Stock | Stock Option (right to buy) | Disposition | 2019-05-23 | 6,000 | $2.28 | 6,000 | $2.28 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2019-05-23 | 6,000 | $2.28 | 6,000 | $2.28 |
| Class A Common Stock | Class B Common Stock | Disposition | 2019-05-23 | 6,000 | $2.28 | 6,000 | $2.28 |
| Class A Common Stock | Restricted Stocfk Unit | Disposition | 2019-05-24 | 2,222 | $0.00 | 2,222 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,065 | 2020-05-22 | No | 4 | A | Direct | |
| 2,937 | 2019-06-22 | 2029-05-21 | No | 4 | A | Direct |
| 111,200 | 2022-05-01 | No | 4 | M | Direct | |
| 6,000 | 2022-05-01 | No | 4 | M | Direct | |
| 0 | 2022-05-01 | No | 4 | C | Direct | |
| 0 | 2019-05-24 | No | 4 | M | Direct |
Footnotes
- Shares sold pursuant to Mr. Henricks' 10b5-1 plan.
- This RSU was granted on 5/22/2019 and vests in one installment on the anniversary of the grant date.
- The option vests in 12 equal monthly installments beginning on the one month anniversary of the grant date.
- 1/48 of the option vests in equal monthly installments one month from 5/1/2012.
- Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock.
- This RSU was granted on 5/24/2018 and vests in one installment on the anniversary of the grant date.
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