Form 4 for ROKU ROKU, INC
Accepted 2023-03-03 00:00:00 ET · period of report 2023-03-01 · accession 0001716837-23-000020 · 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 | 2023-03-01 | ROKU | Fuchsberg Gilbert | SVP, Corp. Development | M - OptEx | $0.00 | +5,700 | 38.3K | +17% | $0 |
| DM | 2023-03-03 | 2023-03-02+ | ROKU | Fuchsberg Gilbert | SVP, Corp. Development | S - Sale+OE | $62.87 | -5,331 | 33.0K | -14% | -$335.2K |
| DM | 2023-03-03 | 2023-03-01 | ROKU | Fuchsberg Gilbert | SVP, Corp. Development | M - OptEx | $0.00 | -5,700 | 1,389 | -80% | $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 | 2023-03-01 | M | A | 5,700 | $0.00 | 38,345 | D | — | — | |
| 2 | Common | Class A Common Stock | 2023-03-02 | S | D | 3,242 | $61.93 | 35,103 | 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. |
| 3 | Common | Class A Common Stock | 2023-03-03 | S | D | 2,089 | $64.34 | 33,014 | D | — | — | (F2) Shares sold pursuant to the reporting person's 10b5-1 plan. |
| 4 | Derivative | Restricted Stock Unit | 2023-03-01 | M | D | 2,542 | $0.00 | 22,881 | D | — · — to — | 2,542 Class A Common Stock | (F3) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F6) This RSU vests in twelve substantially equal quarterly installments. The first installment vested on September 1, 2022. |
| 5 | Derivative | Restricted Stock Unit | 2023-03-01 | M | D | 889 | $0.00 | 4,445 | D | — · — to — | 889 Class A Common Stock | (F3) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F5) This RSU vests in twelve substantially equal quarterly installments. The first installment vested on September 1, 2021. |
| 6 | Derivative | Restricted Stock Unit | 2023-03-01 | M | D | 880 | $0.00 | 880 | D | — · — to — | 880 Class A Common Stock | (F3) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F7) This RSU vests in four substantially equal quarterly installments. The first installment vested on September 1, 2022. |
| 7 | Derivative | Restricted Stock Unit | 2023-03-01 | M | D | 1,389 | $0.00 | 1,389 | D | — · — to — | 1,389 Class A Common Stock | (F3) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. (F4) This RSU vests in four substantially equal quarterly installments. The first installment vested on September 1, 2022. |