Gilbert Fuchsberg - 01 Mar 2024 Form 4 Insider Report for ROKU, INC (ROKU)

Role
SVP, Subscriptions & Corp Dev
Signature
/s/ Renee Strandness, attorney-in-fact
Issuer symbol
ROKU
Transactions as of
01 Mar 2024
Net transactions value
-$362,202
Form type
4
Filing time
05 Mar 2024, 20:39:21 UTC
Previous filing
17 Nov 2023
Next filing
05 Jun 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROKU Class A Common Stock Options Exercise $0 +6,894 +20% $0.000000 41,980 01 Mar 2024 Direct
transaction ROKU Class A Common Stock Tax liability $241,617 -3,814 -9.1% $63.35 38,166 01 Mar 2024 Direct F1
transaction ROKU Class A Common Stock Sale $120,586 -1,908 -5% $63.20 36,258 04 Mar 2024 Direct F2

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 -840 -50% $0.000000 841 01 Mar 2024 Class A Common Stock 840 Direct F3, F4
transaction ROKU Restricted Stock Unit Options Exercise $0 -889 -50% $0.000000 889 01 Mar 2024 Class A Common Stock 889 Direct F3, F5
transaction ROKU Restricted Stock Unit Options Exercise $0 -2,542 -17% $0.000000 12,712 01 Mar 2024 Class A Common Stock 2,542 Direct F3, F6
transaction ROKU Restricted Stock Unit Options Exercise $0 -2,623 -9.1% $0.000000 26,230 01 Mar 2024 Class A Common Stock 2,623 Direct F3, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

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).

Explanation of Responses:

Id Content
F1 Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of certain RSU awards on March 1, 2024.
F2 Shares sold pursuant to Mr. Fuchsberg's 10b5-1 plan.
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, 2023.
F5 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on September 1, 2021.
F6 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on September 1, 2022.
F7 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023.