Scott A. Rosenberg - Sep 1, 2021 Form 4 Insider Report for ROKU, INC (ROKU)

Role
GM, Sr. VP Platform Business
Signature
/s/ Christy Lillquist, attorney-in-fact
Stock symbol
ROKU
Transactions as of
Sep 1, 2021
Transactions value $
-$3,276,081
Form type
4
Date filed
9/3/2021, 06:08 PM
Previous filing
Aug 25, 2021
Next filing
Nov 17, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROKU Class A Common Stock Options Exercise $0 +9.42K +62.3% $0.00 24.5K Sep 1, 2021 Direct
transaction ROKU Class A Common Stock Sale -$1.92M -5.36K -21.83% $358.02 19.2K Sep 2, 2021 Direct F1
transaction ROKU Class A Common Stock Sale -$1.36M -4.06K -21.17% $334.27 15.1K Sep 3, 2021 Direct F2
holding ROKU Class A Common Stock 26.3K Sep 1, 2021 Rosenberg 2021 Gift Trust

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 -3.36K -100% $0.00* 0 Sep 1, 2021 Class A Common Stock 3.36K $0.00 Direct F3
transaction ROKU Restricted Stock Unit Options Exercise $0 -6.06K -100% $0.00* 0 Sep 1, 2021 Class A Common Stock 6.06K $0.00 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares were sold by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award.
F2 Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan.
F3 This RSU vests ratably in 12 quarterly installments. The first installment vested on November 15, 2018.
F4 This RSU vests ratably in 4 quarterly installments. The first installment vested on November 15, 2020.