Matthew C. Banks - 15 Nov 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
15 Nov 2024
Net transactions value
-$1,238,604
Form type
4
Filing time
19 Nov 2024, 18:46:24 UTC
Previous filing
04 Nov 2024
Next filing
03 Dec 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 +18,081 +264% $0.000000 24,924 15 Nov 2024 Direct
transaction ROKU Class A Common Stock Tax liability $617,557 -8,967 -36% $68.87 15,957 15 Nov 2024 Direct F1
transaction ROKU Class A Common Stock Sale $328,171 -4,628 -29% $70.91 11,329 18 Nov 2024 Direct F2, F3
transaction ROKU Class A Common Stock Sale $166,447 -2,325 -21% $71.59 9,004 18 Nov 2024 Direct F2, F4
transaction ROKU Class A Common Stock Sale $126,428 -1,740 -19% $72.66 7,264 18 Nov 2024 Direct

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 -359 -50% $0.000000 360 15 Nov 2024 Class A Common Stock 359 Direct F5, F6
transaction ROKU Restricted Stock Unit Options Exercise $0 -746 -50% $0.000000 749 15 Nov 2024 Class A Common Stock 746 Direct F5, F7
transaction ROKU Restricted Stock Unit Options Exercise $0 -149 -20% $0.000000 593 15 Nov 2024 Class A Common Stock 149 Direct F5, F8
transaction ROKU Restricted Stock Unit Options Exercise $0 -1,249 -11% $0.000000 9,989 15 Nov 2024 Class A Common Stock 1,249 Direct F5, F9
transaction ROKU Restricted Stock Unit Options Exercise $0 -827 -12% $0.000000 5,795 15 Nov 2024 Class A Common Stock 827 Direct F5, F10
transaction ROKU Restricted Stock Unit Options Exercise $0 -13,378 -100% $0.000000 0 15 Nov 2024 Class A Common Stock 13,378 Direct F5, F11
transaction ROKU Restricted Stock Unit Options Exercise $0 -1,202 -8.3% $0.000000 13,222 15 Nov 2024 Class A Common Stock 1,202 Direct F5, F12
transaction ROKU Restricted Stock Unit Options Exercise $0 -171 -25% $0.000000 516 15 Nov 2024 Class A Common Stock 171 Direct F5, F13
* 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 November 15, 2024.
F2 Shares sold pursuant to Mr. Banks' 10b5-1 plan.
F3 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.35 to $71.28 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.37 to $71.86 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5 Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.
F6 This RSU vests in sixteen substantially equal quarterly installments. The first installment vested on June 1, 2021.
F7 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on June 1, 2022.
F8 This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2022.
F9 This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2023.
F10 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023.
F11 This RSU vests in two equal annual installments. The first installment vested on November 15, 2023.
F12 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2024.
F13 This RSU vests in four substantially equal quarterly installments. The first installment vested on November 15, 2024.