Scott A. Rosenberg - 01 Sep 2021 Form 4 Insider Report for ROKU, INC (ROKU)

Role
GM, Sr. VP Platform Business
Signature
/s/ Christy Lillquist, attorney-in-fact
Issuer symbol
ROKU
Transactions as of
01 Sep 2021
Net transactions value
-$3,276,081
Form type
4
Filing time
03 Sep 2021, 18:08:03 UTC
Previous filing
25 Aug 2021
Next filing
17 Nov 2021
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 +9,420 +62% $0.000000 24,541 01 Sep 2021 Direct
transaction ROKU Class A Common Stock Sale $1,918,277 -5,358 -22% $358.02 19,183 02 Sep 2021 Direct F1
transaction ROKU Class A Common Stock Sale $1,357,805 -4,062 -21% $334.27 15,121 03 Sep 2021 Direct F2
holding ROKU Class A Common Stock 26,253 01 Sep 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 -3,356 -100% $0.000000* 0 01 Sep 2021 Class A Common Stock 3,356 $0.000000 Direct F3
transaction ROKU Restricted Stock Unit Options Exercise $0 -6,064 -100% $0.000000* 0 01 Sep 2021 Class A Common Stock 6,064 $0.000000 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.