Form 4 for ROKU ROKU, INC
Accepted 2023-09-06 00:00:00 ET · period of report 2023-09-01 · accession 0001062993-23-017747 · 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 | KAY STEPHEN H | SVP GC, Sec | S - Sale+OE | $89.31 | -2,151 | 78.5K | -3% | -$192.1K |
| D | 2023-09-06 | 2023-09-01 | ROKU | KAY STEPHEN H | SVP GC, Sec | M - OptEx | $0.00 | +2,151 | 80.7K | +3% | $0 |
| D | 2023-09-06 | 2023-09-01 | ROKU | KAY STEPHEN H | SVP GC, Sec | M - OptEx | $0.00 | -2,151 | 15.1K | -12% | $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 | 2023-09-05 | S | D | 754 | $82.69 | 79,924 | 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. |
| 2 | Common | Class A Common Stock | 2023-09-06 | S | D | 1,397 | $92.89 | 78,527 | D | — | — | (F2) Shares sold pursuant to the reporting person's 10b5-1 plan. |
| 3 | Common | Class A Common Stock | 2023-09-01 | M | A | 2,151 | $0.00 | 80,678 | D | — | — | |
| 4 | Derivative | Restricted Stock Unit | 2023-09-01 | M | D | 2,151 | $0.00 | 15,059 | D | — · — to — | 2,151 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 twelve substantially equal quarterly installments. The first installment vested on September 1, 2022. |