Mustafa Ozgen - 15 Nov 2022 Form 4 Insider Report for ROKU, INC (ROKU)

Role
President, Devices
Signature
/s/ Renee Strandness, attorney-in-fact
Issuer symbol
ROKU
Transactions as of
15 Nov 2022
Net transactions value
-$506,446
Form type
4
Filing time
17 Nov 2022, 17:44:49 UTC
Previous filing
06 Sep 2022
Next filing
03 Mar 2023
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 +17,290 +202% $0.000000 25,830 15 Nov 2022 Direct
transaction ROKU Class A Common Stock Sale $506,446 -8,970 -35% $56.46 16,860 16 Nov 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 -50% $0.000000 9,990 15 Nov 2022 Class A Common Stock 9,989 Direct F2, F3
transaction ROKU Restricted Stock Unit Options Exercise $0 -4,759 -9.1% $0.000000 47,586 15 Nov 2022 Class A Common Stock 4,759 Direct F2, F4
transaction ROKU Restricted Stock Unit Options Exercise $0 -2,542 -33% $0.000000 5,085 15 Nov 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 November 15, 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 sixteen substantially equal quarterly installments. The first installment vested on June 1, 2019.
F4 This RSU vests in twelve substantially equal quarterly installments. The first installment vested on September 1, 2022.
F5 This RSU vests in four substantially equal quarterly installments. The first installment vested on September 1, 2022.

Remarks:

Exhibit 24.1 - Power of Attorney