Filing Details

Accession Number:
0001716837-21-000060
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-05-26 18:50:03
Reporting Period:
2021-05-24
Accepted Time:
2021-05-26 18:50:03
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
1716857 A. Scott Rosenberg 1155 Coleman Ave,
San Jose CA 95110
Gm, Sr. Vp Platform Business 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 2021-05-24 3,633 $5.64 61,814 No 4 C Direct
Class A Common Stock Acquisiton 2021-05-24 15,000 $5.64 76,814 No 4 C Direct
Class A Common Stock Acquisiton 2021-05-24 3,700 $5.64 80,514 No 4 C Direct
Class A Common Stock Disposition 2021-05-24 3,499 $332.80 77,015 No 4 S Direct
Class A Common Stock Disposition 2021-05-24 4,156 $334.20 72,859 No 4 S Direct
Class A Common Stock Disposition 2021-05-24 13,790 $335.30 59,069 No 4 S Direct
Class A Common Stock Disposition 2021-05-24 888 $335.99 58,181 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Direct
No 4 C 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 B Common Stock Employee Stock Option (Right to Buy) Disposition 2021-05-24 3,633 $5.64 3,633 $5.64
Class A Common Stock Class B Common Stock Acquisiton 2021-05-24 3,633 $5.64 3,633 $5.64
Class A Common Stock Class B Common Stock Disposition 2021-05-24 3,633 $5.64 0 $5.64
Class B Common Stock Employee Stock Option (Right to Buy) Disposition 2021-05-24 15,000 $5.64 15,000 $5.64
Class A Common Stock Class B Common Stock Acquisiton 2021-05-24 15,000 $5.64 15,000 $5.64
Class A Common Stock Class B Common Stock Disposition 2021-05-24 15,000 $5.64 0 $5.64
Class B Common Stock Employee Stock Option (Right to Buy) Disposition 2021-05-24 3,700 $5.64 3,700 $5.64
Class A Common Stock Class B Common Stock Acquisiton 2021-05-24 3,700 $5.64 3,700 $5.64
Class A Common Stock Class B Common Stock Disposition 2021-05-24 3,700 $5.64 0 $5.64
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2026-11-07 No 4 M Direct
0 2026-11-07 No 4 M Direct
0 2026-11-07 No 4 C Direct
30,020 2026-11-14 No 4 M Direct
0 2026-11-14 No 4 M Direct
0 2026-11-14 No 4 C Direct
15,000 2025-08-10 No 4 M Direct
0 2025-08-10 No 4 M Direct
0 2025-08-10 No 4 C Direct
Footnotes
  1. Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan.
  2. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $332.56 to $333.47 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.
  3. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $333.70 to $334.63 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.
  4. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $334.86 to $335.84 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.
  5. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $335.98 to $335.99 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.
  6. This stock option is fully vested.
  7. 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.