Form 4 for ROKU ROKU, INC
Accepted 2024-06-17 00:00:00 ET · period of report 2024-06-13 · accession 0001062993-24-012732 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-06-17 | 2024-06-13 | ROKU | KAY STEPHEN H | SVP GC, Sec | S - Sale | $55.59 | -12.1K | 91.9K | -12% | -$674.0K |
| D | 2024-06-17 | 2024-06-13 | ROKU | KAY STEPHEN H | SVP GC, Sec | C - Cnv Deriv | — | +22.0K | 104.0K | +27% | — |
| DM | 2024-06-17 | 2024-06-13 | ROKU | KAY STEPHEN H | SVP GC, Sec | M - OptEx | $6.12 | 0 | 0 | New | $0 |
| D | 2024-06-17 | 2024-06-13 | ROKU | KAY STEPHEN H | SVP GC, Sec | C - Cnv Deriv | $0.00 | -22.0K | 0 | -100% | $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 | 2024-06-13 | S | D | 12,124 | $55.59 | 91,905 | D | — | — | (F2) Shares sold pursuant to Mr. Kay's 10b5-1 plan to satisfy income tax withholding obligations in connection with the exercise of a stock option. |
| 2 | Common | Class A Common Stock | 2024-06-13 | C | A | 21,993 | — | 104,029 | D | — | — | (F1) 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. |
| 3 | Derivative | Class B Common Stock | 2024-06-13 | M | A | 21,993 | $6.12 | 21,993 | D | $6.12 · — to 2027-05-15 | 21,993 Class A Common Stock | (F1) 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. |
| 4 | Derivative | Employee Stock Option (Right to Buy) | 2024-06-13 | M | D | 21,993 | $6.12 | 0 | D | $6.12 · — to 2027-05-15 | 21,993 Class B Common Stock | (F3) This stock option is fully vested. |
| 5 | Derivative | Class B Common Stock | 2024-06-13 | C | D | 21,993 | $0.00 | 0 | D | $0.00 · — to — | 21,993 Class A Common Stock | (F1) 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. |