Filing Details
- Accession Number:
- 0001716837-20-000186
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-13 18:01:33
- Reporting Period:
- 2020-11-10
- Accepted Time:
- 2020-11-13 18:01:33
- 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. 1155 Coleman Ave. San Jose CA 95110 | 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 | 2020-11-10 | 1,000 | $2.28 | 7,287 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-11-10 | 1,000 | $222.24 | 6,287 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-11 | 1,000 | $0.00 | 5,287 | No | 5 | G | Direct | |
| Class A Common Stock | Acquisiton | 2020-11-11 | 7,000 | $2.28 | 12,287 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-11-11 | 2,000 | $226.24 | 10,287 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-11 | 5,000 | $228.00 | 5,287 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2020-11-12 | 2,500 | $2.28 | 7,787 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-11-12 | 2,500 | $235.00 | 5,287 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2020-11-13 | 7,500 | $2.28 | 12,787 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-11-13 | 5,000 | $233.00 | 7,787 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-13 | 2,500 | $235.00 | 5,287 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| No | 5 | G | Direct | |
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-11-10 | 1,000 | $2.28 | 1,000 | $2.28 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-11-10 | 1,000 | $2.28 | 1,000 | $2.28 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-11-10 | 1,000 | $2.28 | 1,000 | $2.28 |
| Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-11-11 | 7,000 | $2.28 | 7,000 | $2.28 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-11-11 | 7,000 | $2.28 | 7,000 | $2.28 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-11-11 | 7,000 | $2.28 | 7,000 | $2.28 |
| Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-11-12 | 2,500 | $2.28 | 2,500 | $2.28 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-11-12 | 2,500 | $2.28 | 2,500 | $2.28 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-11-12 | 2,500 | $2.28 | 2,500 | $2.28 |
| Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-11-13 | 7,500 | $2.28 | 7,500 | $2.28 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-11-13 | 7,500 | $2.28 | 7,500 | $2.28 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-11-13 | 7,500 | $2.28 | 7,500 | $2.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 36,700 | 2022-05-01 | No | 4 | M | Direct | |
| 1,000 | 2022-05-01 | No | 4 | M | Direct | |
| 0 | 2022-05-01 | No | 4 | C | Direct | |
| 29,700 | 2022-05-01 | No | 4 | M | Direct | |
| 7,000 | 2022-05-01 | No | 4 | M | Direct | |
| 0 | 2022-05-01 | No | 4 | C | Direct | |
| 27,200 | 2022-05-01 | No | 4 | M | Direct | |
| 2,500 | 2022-05-01 | No | 4 | M | Direct | |
| 0 | 2022-05-01 | No | 4 | C | Direct | |
| 19,700 | 2022-05-01 | No | 4 | M | Direct | |
| 7,500 | 2022-05-01 | No | 4 | M | Direct | |
| 0 | 2022-05-01 | No | 4 | C | Direct |
Footnotes
- This stock option is fully vested.
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