Form 4 for ROKU ROKU, INC
Accepted 2024-11-19 00:00:00 ET · period of report 2024-11-15 · accession 0001062993-24-019374 · 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 | 2024-11-19 | 2024-11-18 | ROKU | Banks Matthew C. | VP, CAO, Corp Ctrl | S - Sale+OE | $71.44 | -8,693 | 7,264 | -54% | -$621.0K |
| D | 2024-11-19 | 2024-11-15 | ROKU | Banks Matthew C. | VP, CAO, Corp Ctrl | M - OptEx | $0.00 | +18.1K | 24.9K | +264% | $0 |
| D | 2024-11-19 | 2024-11-15 | ROKU | Banks Matthew C. | VP, CAO, Corp Ctrl | F - Tax | $68.87 | -8,967 | 16.0K | -36% | -$617.6K |
| DM | 2024-11-19 | 2024-11-15 | ROKU | Banks Matthew C. | VP, CAO, Corp Ctrl | M - OptEx | $0.00 | -18.1K | 593 | -97% | $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 | 2024-11-18 | S | D | 2,325 | $71.59 | 9,004 | D | — | — | (F2) Shares sold pursuant to Mr. Banks' 10b5-1 plan. (F4) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.37 to $71.86 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. |
| 2 | Common | Class A Common Stock | 2024-11-18 | S | D | 4,628 | $70.91 | 11,329 | D | — | — | (F2) Shares sold pursuant to Mr. Banks' 10b5-1 plan. (F3) The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.35 to $71.28 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 | Common | Class A Common Stock | 2024-11-15 | M | A | 18,081 | $0.00 | 24,924 | D | — | — | |
| 4 | Common | Class A Common Stock | 2024-11-15 | F | D | 8,967 | $68.87 | 15,957 | D | — | — | (F1) Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of certain RSU awards on November 15, 2024. |
| 5 | Common | Class A Common Stock | 2024-11-18 | S | D | 1,740 | $72.66 | 7,264 | D | — | — | |
| 6 | Derivative | Restricted Stock Unit | 2024-11-15 | M | D | 171 | $0.00 | 516 | D | — · — to — | 171 Class A Common Stock | (F5) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F13) This RSU vests in four substantially equal quarterly installments. The first installment vested on November 15, 2024. |
| 7 | Derivative | Restricted Stock Unit | 2024-11-15 | M | D | 1,249 | $0.00 | 9,989 | D | — · — to — | 1,249 Class A Common Stock | (F5) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F9) This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2023. |
| 8 | Derivative | Restricted Stock Unit | 2024-11-15 | M | D | 827 | $0.00 | 5,795 | D | — · — to — | 827 Class A Common Stock | (F5) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F10) This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023. |
| 9 | Derivative | Restricted Stock Unit | 2024-11-15 | M | D | 13,378 | $0.00 | 0 | D | — · — to — | 13,378 Class A Common Stock | (F5) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F11) This RSU vests in two equal annual installments. The first installment vested on November 15, 2023. |
| 10 | Derivative | Restricted Stock Unit | 2024-11-15 | M | D | 1,202 | $0.00 | 13,222 | D | — · — to — | 1,202 Class A Common Stock | (F5) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F12) This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2024. |
| 11 | Derivative | Restricted Stock Unit | 2024-11-15 | M | D | 746 | $0.00 | 749 | D | — · — to — | 746 Class A Common Stock | (F5) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F7) This RSU vests in twelve substantially equal quarterly installments. The first installment vested on June 1, 2022. |
| 12 | Derivative | Restricted Stock Unit | 2024-11-15 | M | D | 359 | $0.00 | 360 | D | — · — to — | 359 Class A Common Stock | (F5) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F6) This RSU vests in sixteen substantially equal quarterly installments. The first installment vested on June 1, 2021. |
| 13 | Derivative | Restricted Stock Unit | 2024-11-15 | M | D | 149 | $0.00 | 593 | D | — · — to — | 149 Class A Common Stock | (F5) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F8) This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2022. |