Scott A. Rosenberg - Nov 22, 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
Nov 22, 2021
Transactions value $
-$1,751,700
Form type
4
Date filed
11/23/2021, 03:27 PM
Previous filing
Nov 17, 2021
Next filing
Dec 27, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROKU Class A Common Stock Conversion of derivative security $42.3K +7.5K +49.6% $5.64* 22.6K Nov 22, 2021 Direct
transaction ROKU Class A Common Stock Sale -$1.75M -7.5K -33.16% $233.56 15.1K Nov 22, 2021 Direct F1

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 Employee Stock Option (Right to Buy) Options Exercise -$42.3K -7.5K -100% $5.64* 0 Nov 22, 2021 Class B Common Stock 7.5K $5.64 Direct F2
transaction ROKU Class B Common Stock Options Exercise $42.3K +7.5K $5.64* 7.5K Nov 22, 2021 Class A Common Stock 7.5K $5.64 Direct F3
transaction ROKU Class B Common Stock Conversion of derivative security -$42.3K -7.5K -100% $5.64* 0 Nov 22, 2021 Class A Common Stock 0 $5.64 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan.
F2 This stock option is fully vested.
F3 Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock.