STEPHEN H. KAY - 03 Jun 2024 Form 4 Insider Report for ROKU, INC (ROKU)

Role
SVP General Counsel, Secretary
Signature
/s/ Renee Strandness, attorney-in-fact
Issuer symbol
ROKU
Transactions as of
03 Jun 2024
Net transactions value
-$411,911
Form type
4
Filing time
05 Jun 2024, 18:15:50 UTC
Previous filing
05 Mar 2024
Next filing
17 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 +7,735 +9.5% $0.000000 89,194 03 Jun 2024 Direct
transaction ROKU Class A Common Stock Tax liability $222,258 -3,836 -4.3% $57.94 85,358 03 Jun 2024 Direct F1
transaction ROKU Class A Common Stock Sale $189,653 -3,322 -3.9% $57.09 82,036 04 Jun 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 -2,151 -20% $0.000000 8,605 03 Jun 2024 Class A Common Stock 2,151 Direct F3, F4
transaction ROKU Restricted Stock Unit Options Exercise $0 -4,439 -10% $0.000000 39,950 03 Jun 2024 Class A Common Stock 4,439 Direct F3, F5
transaction ROKU Restricted Stock Unit Options Exercise $0 -1,145 -33% $0.000000 2,289 03 Jun 2024 Class A Common Stock 1,145 Direct F3, F6
* 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. Kay'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 twelve substantially equal quarterly installments. The first installment vested on September 1, 2022.
F5 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023.
F6 This RSU vests in four substantially equal quarterly installments. The first installment vested on March 1, 2024.