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 | -3.34K | -10% | $0.00 | 30.1K | Nov 15, 2023 | Class A Common Stock | 3.34K | Direct | F3, F4 | |
transaction | ROKU | Restricted Stock Unit | Options Exercise | $0 | -4.56K | -100% | $0.00* | 0 | Nov 15, 2023 | Class A Common Stock | 4.56K | Direct | F3, F5 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
Id | Content |
---|---|
F1 | Shares sold pursuant to Mr. Katz's 10b5-1 plan. |
F2 | 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. |
F3 | Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. |
F4 | This RSU vests in sixteen substantially equal quarterly installments. The first installment vested on June 1, 2022. |
F5 | This RSU vests in six substantially equal quarterly installments. The first installment vested on September 1, 2022. |