Form 4 for ROKU ROKU, INC
Accepted 2021-11-23 00:00:00 ET · period of report 2021-11-22 · accession 0001716837-21-000155 · 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 | 2021-11-23 | 2021-11-22 | ROKU | Rosenberg Scott A. | GM, SVP Platform Business | C - Cnv Deriv | $5.64 | +7,500 | 22.6K | +50% | +$42.3K |
| D | 2021-11-23 | 2021-11-22 | ROKU | Rosenberg Scott A. | GM, SVP Platform Business | S - Sale | $233.56 | -7,500 | 15.1K | -33% | -$1.75M |
| DM | 2021-11-23 | 2021-11-22 | ROKU | Rosenberg Scott A. | GM, SVP Platform Business | M - OptEx | $5.64 | 0 | 0 | New | $0 |
| D | 2021-11-23 | 2021-11-22 | ROKU | Rosenberg Scott A. | GM, SVP Platform Business | C - Cnv Deriv | $5.64 | -7,500 | 0 | -100% | -$42.3K |
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 | 2021-11-22 | C | A | 7,500 | $5.64 | 22,621 | D | — | — | |
| 2 | Common | Class A Common Stock | 2021-11-22 | S | D | 7,500 | $233.56 | 15,121 | D | — | — | (F1) Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan. |
| 3 | Derivative | Class B Common Stock | 2021-11-22 | M | A | 7,500 | $5.64 | 7,500 | D | $5.64 · — to 2025-08-10 | 7,500 Class A Common Stock | (F3) 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 | Class B Common Stock | 2021-11-22 | C | D | 7,500 | $5.64 | 0 | D | $5.64 · — to 2025-08-10 | 0 Class A Common Stock | (F3) 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. |
| 5 | Derivative | Employee Stock Option (Right to Buy) | 2021-11-22 | M | D | 7,500 | $5.64 | 0 | D | $5.64 · — to 2025-08-10 | 7,500 Class B Common Stock | (F2) This stock option is fully vested. |