Mustafa Ozgen - 01 Sep 2022 Form 4 Insider Report for ROKU, INC (ROKU)

Role
SVP and GM of Account Acquisit
Signature
/s/ Christy Lillquist, attorney-in-fact
Issuer symbol
ROKU
Transactions as of
01 Sep 2022
Net transactions value
-$585,658
Form type
4
Filing time
06 Sep 2022, 18:37:12 UTC
Previous filing
23 Aug 2022
Next filing
17 Nov 2022
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 +17,289 $0.000000 17,289 01 Sep 2022 Direct
transaction ROKU Class A Common Stock Sale $585,658 -8,749 -51% $66.94 8,540 02 Sep 2022 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 Restricted Stock Unit Options Exercise $0 -9,989 -33% $0.000000 19,979 01 Sep 2022 Class A Common Stock 9,989 Direct F2, F3
transaction ROKU Restricted Stock Unit Options Exercise $0 -4,758 -8.3% $0.000000 52,345 01 Sep 2022 Class A Common Stock 4,758 Direct F2, F4
transaction ROKU Restricted Stock Unit Options Exercise $0 -2,542 -25% $0.000000 7,627 01 Sep 2022 Class A Common Stock 2,542 Direct F2, F5
* 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 Issuer in order to meet the tax withholding obligations of the reporting person in connection with the vesting of certain RSU awards on September 1, 2022.
F2 Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.
F3 This RSU vests in 16 substantially equal quarterly installments. The first installment vested on June 1, 2019.
F4 This RSU vests in 12 substantially equal quarterly installments. The first installment vested on September 1, 2022.
F5 This RSU vests in 4 substantially equal quarterly installments. The first installment vested on September 1, 2022.