Form 4 for ROKU ROKU, INC
Accepted 2023-09-06 00:00:00 ET · period of report 2023-09-01 · accession 0001062993-23-017740 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-09-06 | 2023-09-05+ | ROKU | Banks Matthew C. | VP, CAO, Corp Ctrl | S - Sale+OE | $84.12 | -1,464 | 6,017 | -20% | -$123.1K |
| D | 2023-09-06 | 2023-09-01 | ROKU | Banks Matthew C. | VP, CAO, Corp Ctrl | M - OptEx | $0.00 | +2,502 | 7,276 | +52% | $0 |
| DM | 2023-09-06 | 2023-09-01 | ROKU | Banks Matthew C. | VP, CAO, Corp Ctrl | M - OptEx | $0.00 | -2,502 | 2,157 | -54% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2023-09-06 | S | D | 205 | $92.89 | 5,812 | D | — | — | (F2) Shares sold pursuant to Mr. Banks's 10b5-1 plan. |
| 2 | Common | Class A Common Stock | 2023-09-01 | M | A | 2,502 | $0.00 | 7,276 | D | — | — | |
| 3 | Common | Class A Common Stock | 2023-09-05 | S | D | 1,259 | $82.69 | 6,017 | D | — | — | (F1) These shares were sold by the Issuer in order to meet the tax withholding obligations of the reporting person in connection with the vesting of certain RSU awards on September 1, 2023. |
| 4 | Derivative | Restricted Stock Unit | 2023-09-01 | M | D | 148 | $0.00 | 1,336 | D | — · — to — | 148 Class A Common Stock | (F3) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F6) This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2022. |
| 5 | Derivative | Restricted Stock Unit | 2023-09-01 | M | D | 746 | $0.00 | 4,485 | D | — · — to — | 746 Class A Common Stock | (F3) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F5) This RSU vests in twelve substantially equal quarterly installments. The first installment vested on June 1, 2022. |
| 6 | Derivative | Restricted Stock Unit | 2023-09-01 | M | D | 1,249 | $0.00 | 16,232 | D | — · — to — | 1,249 Class A Common Stock | (F3) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F7) This RSU vests in sixteen substantially equal quarterly installments, with two such installments vesting on June 1, 2023. |
| 7 | Derivative | Restricted Stock Unit | 2023-09-01 | M | D | 359 | $0.00 | 2,157 | D | — · — to — | 359 Class A Common Stock | (F3) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F4) This RSU vests in sixteen substantially equal quarterly installments. The first installment vested on June 1, 2021. |