Mustafa Ozgen - Nov 15, 2021 Form 4 Insider Report for ROKU, INC (ROKU)

Role
SVP and GM of Account Acquisit
Signature
/s/ Christy Lillquist, attorney-in-fact
Stock symbol
ROKU
Transactions as of
Nov 15, 2021
Transactions value $
-$2,676,383
Form type
4
Date filed
11/17/2021, 06:31 PM
Previous filing
Sep 3, 2021
Next filing
Mar 3, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROKU Class A Common Stock Options Exercise $0 +9.99K $0.00 9.99K Nov 15, 2021 Direct
transaction ROKU Class A Common Stock Sale -$1.36M -5.02K -50.21% $272.03 4.97K Nov 16, 2021 Direct F1
transaction ROKU Class A Common Stock Sale -$1.31M -4.97K -100% $263.75 0 Nov 17, 2021 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 -9.99K -20% $0.00 40K Nov 15, 2021 Class A Common Stock 9.99K $0.00 Direct F3
* 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. Ozgen's 10b5-1 plan.
F3 This RSU vests ratably in 16 quarterly installments. The first installment vested on June 1, 2019.