Form 4 for ROKU ROKU, INC
Accepted 2021-09-03 00:00:00 ET · period of report 2021-09-01 · accession 0001716837-21-000135 · 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 | 2021-09-03 | 2021-09-02+ | ROKU | Rosenberg Scott A. | GM, SVP Platform Business | S - Sale+OE | $347.78 | -9,420 | 19.2K | -33% | -$3.28M |
| D | 2021-09-03 | 2021-09-01 | ROKU | Rosenberg Scott A. | GM, SVP Platform Business | M - OptEx | $0.00 | +9,420 | 24.5K | +62% | $0 |
| DM | 2021-09-03 | 2021-09-01 | ROKU | Rosenberg Scott A. | GM, SVP Platform Business | M - OptEx | $0.00 | -9,420 | 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 | 2021-09-03 | S | D | 4,062 | $334.27 | 15,121 | D | — | — | (F2) Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan. |
| 2 | Common | Class A Common Stock | 2021-09-02 | S | D | 5,358 | $358.02 | 19,183 | D | — | — | (F1) 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. |
| 3 | Common | Class A Common Stock | 2021-09-01 | M | A | 9,420 | $0.00 | 24,541 | D | — | — | |
| 4 | Derivative | Restricted Stock Unit | 2021-09-01 | M | D | 3,356 | $0.00 | 0 | D | $0.00 · 2018-11-15 to — | 3,356 Class A Common Stock | (F3) This RSU vests ratably in 12 quarterly installments. The first installment vested on November 15, 2018. |
| 5 | Derivative | Restricted Stock Unit | 2021-09-01 | M | D | 6,064 | $0.00 | 0 | D | $0.00 · 2020-11-15 to — | 6,064 Class A Common Stock | (F4) This RSU vests ratably in 4 quarterly installments. The first installment vested on November 15, 2020. |