Filing Details
- Accession Number:
- 0001716837-21-000150
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-17 19:31:41
- Reporting Period:
- 2021-11-15
- Accepted Time:
- 2021-11-17 19:31:41
- 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 | 2021-11-15 | 9,990 | $0.00 | 9,990 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2021-11-16 | 5,016 | $272.03 | 4,974 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2021-11-17 | 4,974 | $263.75 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Restricted Stock Unit | Disposition | 2021-11-15 | 9,990 | $0.00 | 9,990 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 39,956 | 2019-06-01 | 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.
- This RSU vests ratably in 16 quarterly installments. The first installment vested on June 1, 2019.
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