Stephen H. Kay - 01 Sep 2022 Form 4 Insider Report for ROKU, INC (ROKU)

Role
SVP General Counsel, Secretary
Signature
/s/ Christy Lillquist, attorney-in-fact
Issuer symbol
ROKU
Transactions as of
01 Sep 2022
Net transactions value
-$177,114
Form type
4
Filing time
06 Sep 2022, 18:48:11 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 +4,056 +5.2% $0.000000 81,368 01 Sep 2022 Direct
transaction ROKU Class A Common Stock Sale $95,925 -1,433 -1.8% $66.94 79,935 02 Sep 2022 Direct F1
transaction ROKU Class A Common Stock Sale $81,189 -1,232 -1.5% $65.90 78,703 06 Sep 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 -1,905 -50% $0.000000 1,905 01 Sep 2022 Class A Common Stock 1,905 Direct F3, F4
transaction ROKU Restricted Stock Unit Options Exercise $0 -2,151 -8.3% $0.000000 23,663 01 Sep 2022 Class A Common Stock 2,151 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.