Charles Collier - Jun 3, 2024 Form 4 Insider Report for ROKU, INC (ROKU)

Role: President, Roku Media
Signature: /s/ Renee Strandness, attorney-in-fact
Stock symbol: ROKU
Transactions as of: Jun 3, 2024
Transactions value $: -$1,277,416
Form type: 4
Date filed: 6/5/2024, 05:04 PM
Previous filing: May 3, 2024
Next filing: Jul 2, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	ROKU	Class A Common Stock	Options Exercise	$0	+29.3K	+346.24%	$0.00	37.8K	Jun 3, 2024	Direct
transaction	ROKU	Class A Common Stock	Tax liability	-$868K	-15K	-39.61%	$57.94	22.8K	Jun 3, 2024	Direct	F1
transaction	ROKU	Class A Common Stock	Sale	-$410K	-7.18K	-31.45%	$57.03	15.7K	Jun 4, 2024	Direct	F2
holding	ROKU	Class A Common Stock						600	Jun 3, 2024	Charles D. Collier Revocable Trust

Showing 1 to 4 of 4 entries

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	-29.3K	-9.09%	$0.00	293K	Jun 3, 2024	Class A Common	29.3K		Direct	F3, F4
transaction	ROKU	Employee Stock Option (right to buy)	Award	$0	+2.59K		$0.00	2.59K	Jun 3, 2024	Class A Common Stock	2.59K	$57.94	Direct	F5

* 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 June 3, 2024.
F2	Shares sold pursuant to Mr. Collier'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 sixteen substantially equal quarterly installments. The first installment vested on March 1, 2023.
F5	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 approximately $83,333.33.