Mustafa Ozgen - Nov 15, 2023 Form 4 Insider Report for ROKU, INC (ROKU)

Role
President, Devices
Signature
/s/ Renee Strandness, attorney-in-fact
Stock symbol
ROKU
Transactions as of
Nov 15, 2023
Transactions value $
-$436,781
Form type
4
Date filed
11/17/2023, 06:32 PM
Previous filing
Sep 19, 2023
Next filing
Dec 15, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROKU Class A Common Stock Options Exercise $0 +9.67K +30.85% $0.00 41K Nov 15, 2023 Direct
transaction ROKU Class A Common Stock Sale -$437K -4.91K -11.96% $89.03 36.1K Nov 16, 2023 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ROKU Restricted Stock Unit Options Exercise $0 -4.76K -14.29% $0.00 28.6K Nov 15, 2023 Class A Common Stock 4.76K Direct F2, F3
transaction ROKU Restricted Stock Unit Options Exercise $0 -4.91K -8.33% $0.00 54K Nov 15, 2023 Class A Common Stock 4.91K Direct F2, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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, 2023.
F2 Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.
F3 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on September 1, 2022.
F4 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023.