Form 4 for ROKU ROKU, INC
Accepted 2022-11-17 00:00:00 ET · period of report 2022-11-15 · accession 0001716837-22-000145 · 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 | 2022-11-17 | 2022-11-15 | ROKU | Ozgen Mustafa | Pres, Devices | M - OptEx | $0.00 | +17.3K | 25.8K | +202% | $0 |
| D | 2022-11-17 | 2022-11-16 | ROKU | Ozgen Mustafa | Pres, Devices | S - Sale+OE | $56.46 | -8,970 | 16.9K | -35% | -$506.4K |
| DM | 2022-11-17 | 2022-11-15 | ROKU | Ozgen Mustafa | Pres, Devices | M - OptEx | $0.00 | -17.3K | 5,085 | -77% | $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 | 2022-11-15 | M | A | 17,290 | $0.00 | 25,830 | D | — | — | |
| 2 | Common | Class A Common Stock | 2022-11-16 | S | D | 8,970 | $56.46 | 16,860 | 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 November 15, 2022. |
| 3 | Derivative | Restricted Stock Unit | 2022-11-15 | M | D | 9,989 | $0.00 | 9,990 | D | — · — to — | 9,989 Class A Common Stock | (F2) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F3) This RSU vests in sixteen substantially equal quarterly installments. The first installment vested on June 1, 2019. |
| 4 | Derivative | Restricted Stock Unit | 2022-11-15 | M | D | 4,759 | $0.00 | 47,586 | D | — · — to — | 4,759 Class A Common Stock | (F2) 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. |
| 5 | Derivative | Restricted Stock Unit | 2022-11-15 | M | D | 2,542 | $0.00 | 5,085 | D | — · — to — | 2,542 Class A Common Stock | (F2) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F5) This RSU vests in four substantially equal quarterly installments. The first installment vested on September 1, 2022. |