Matthew C. Banks - 03 Sep 2024 Form 4 Insider Report for ROKU, INC (ROKU)

Role
VP, Corp Controller & CAO
Signature
/s/ Renee Strandness, attorney-in-fact
Issuer symbol
ROKU
Transactions as of
03 Sep 2024
Net transactions value
-$121,332
Form type
4
Filing time
05 Sep 2024, 18:22:30 UTC
Previous filing
20 Aug 2024
Next filing
02 Oct 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 +3,333 +58% $0.000000 9,127 03 Sep 2024 Direct
transaction ROKU Class A Common Stock Tax liability $107,939 -1,655 -18% $65.22 7,472 03 Sep 2024 Direct F1
transaction ROKU Class A Common Stock Sale $13,393 -208 -2.8% $64.39 7,264 04 Sep 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 -360 -33% $0.000000 719 03 Sep 2024 Class A Common Stock 360 Direct F3, F4
transaction ROKU Restricted Stock Unit Options Exercise $0 -749 -33% $0.000000 1,495 03 Sep 2024 Class A Common Stock 749 Direct F3, F5
transaction ROKU Restricted Stock Unit Options Exercise $0 -148 -17% $0.000000 742 03 Sep 2024 Class A Common Stock 148 Direct F3, F6
transaction ROKU Restricted Stock Unit Options Exercise $0 -1,248 -10% $0.000000 11,238 03 Sep 2024 Class A Common Stock 1,248 Direct F3, F7
transaction ROKU Restricted Stock Unit Options Exercise $0 -828 -11% $0.000000 6,622 03 Sep 2024 Class A Common Stock 828 Direct F3, F8
* 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 September 3, 2024.
F2 Shares sold pursuant to Mr. Banks' 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 June 1, 2021.
F5 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on June 1, 2022.
F6 This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2022.
F7 This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2023.
F8 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023.