Stephen H. Kay - Sep 1, 2022 Form 4 Insider Report for ROKU, INC (ROKU)

Role
SVP General Counsel, Secretary
Signature
/s/ Christy Lillquist, attorney-in-fact
Stock symbol
ROKU
Transactions as of
Sep 1, 2022
Transactions value $
-$177,114
Form type
4
Date filed
9/6/2022, 06:48 PM
Previous filing
Aug 23, 2022
Next filing
Nov 17, 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 +4.06K +5.25% $0.00 81.4K Sep 1, 2022 Direct
transaction ROKU Class A Common Stock Sale -$95.9K -1.43K -1.76% $66.94 79.9K Sep 2, 2022 Direct F1
transaction ROKU Class A Common Stock Sale -$81.2K -1.23K -1.54% $65.90 78.7K Sep 6, 2022 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 -1.91K -50% $0.00 1.91K Sep 1, 2022 Class A Common Stock 1.91K Direct F3, F4
transaction ROKU Restricted Stock Unit Options Exercise $0 -2.15K -8.33% $0.00 23.7K Sep 1, 2022 Class A Common Stock 2.15K Direct F3, 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 Shares sold pursuant to the reporting person's 10b5-1 plan.
F3 Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.
F4 This RSU vests in 4 substantially equal quarterly installments. The first installment vested on March 1, 2022.
F5 This RSU vests in 12 substantially equal quarterly installments. The first installment vested on September 1, 2022.