Filing Details
- Accession Number:
- 0001716837-20-000195
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-18 20:21:24
- Reporting Period:
- 2020-11-16
- Accepted Time:
- 2020-11-18 20:21:24
- 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 |
|---|---|---|---|---|---|---|---|
| 1767033 | Mustafa Ozgen | C/O Roku, Inc. 1155 Coleman San Jose CA 95110 | Svp And Gm Of Account Acquisit | No | Yes | 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 | 2020-11-16 | 9,989 | $0.00 | 9,989 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2020-11-17 | 5,016 | $237.81 | 4,973 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-18 | 1,024 | $233.99 | 3,949 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-18 | 1,402 | $235.16 | 2,547 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-18 | 547 | $236.12 | 2,000 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-18 | 1,500 | $237.41 | 500 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-18 | 500 | $238.36 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 A Common Stock | Restricted Stock Unit | Disposition | 2020-11-16 | 9,989 | $0.00 | 9,989 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 89,903 | 2029-02-28 | No | 4 | M | Direct |
Footnotes
- These shares were sold by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award.
- Shares sold pursuant to Mr. Ozgen's 10b5-1 plan.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.57 to $234.55 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.70 to $235.42 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $235.75 to $236.65 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $236.96 to $237.85 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $237.97 to $238.74 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- This RSU vests ratably in 16 quarterly installments. The first installment vested on June 1, 2019.
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