Form 4 for ROKU ROKU, INC
Accepted 2023-03-03 00:00:00 ET · period of report 2023-03-01 · accession 0001716837-23-000017 · 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 | 2023-03-03 | 2023-03-02 | ROKU | Collier Charles | Pres, Roku Media | S - Sale+OE | $61.93 | -13.0K | 16.6K | -44% | -$803.2K |
| D | 2023-03-03 | 2023-03-01 | ROKU | Collier Charles | Pres, Roku Media | M - OptEx | $0.00 | +29.3K | 29.5K | +14,670% | $0 |
| D | 2023-03-03 | 2023-03-01 | ROKU | Collier Charles | Pres, Roku Media | A - Grant | $0.00 | +2,750 | 2,750 | New | $0 |
| D | 2023-03-03 | 2023-03-01 | ROKU | Collier Charles | Pres, Roku Media | M - OptEx | $0.00 | -29.3K | 440.1K | -6% | $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 | 2023-03-02 | S | D | 12,970 | $61.93 | 16,569 | 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 March 1, 2023. |
| 2 | Common | Class A Common Stock | 2023-03-01 | M | A | 29,339 | $0.00 | 29,539 | D | — | — | |
| 3 | Derivative | Employee Stock Option (right to buy) | 2023-03-01 | A | A | 2,750 | $0.00 | 2,750 | D | $63.64 · 2023-03-01 to 2033-02-28 | 2,750 Class A Common Stock | (F4) This stock option was awarded to the reporting person by the Compensation Committee of the Issuer's Board of Directors pursuant to the Issuer's Executive Supplemental Stock Option Program in exchange for a reduction in the monthly base salary of the reporting person of $83,333.33. |
| 4 | Derivative | Restricted Stock Unit | 2023-03-01 | M | D | 29,339 | $0.00 | 440,097 | D | — · — to — | 29,339 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 March 1, 2023. |