Alan S. Henricks - 20 May 2021 Form 4 Insider Report for ROKU, INC (ROKU)

Reporting relationship: Director
Issuer ticker: ROKU
Reported as of: 20 May 2021
Net transaction value: -$1,021,000
SEC form: 4
Accepted by SEC: 24 May 2021, 18:03:19 UTC
Prior SEC filing: 19 May 2021
Next SEC filing: 19 Aug 2021
Source filing: View source filing
Reporting owner signature: /s/ Christy Lillquist, attorney-in-fact

Key filing fact

Alan S. Henricks filed Form 4 for ROKU, INC (ROKU) on 24 May 2021.

Key facts

This page summarizes Alan S. Henricks's Form 4 filing for ROKU, INC (ROKU).
15 reported transactions and 9 derivative rows are listed below.
Accepted by SEC: 24 May 2021, 18:03.

Change

Previous filing in this sequence was filed on 19 May 2021.
Current net transaction value: -$1,021,000.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

ROKU transaction

Class A Common Stock

Conversion of derivative security

Transaction value: $5,640
Shares: +1,000
Change %: +23%
Price: $5.64^*
Shares after: 5,287
Date: 20 May 2021
Ownership: Direct

ROKU transaction

Class A Common Stock

Sale

Transaction value: $331,000
Shares: -1,000
Change %: -19%
Price: $331.00
Shares after: 4,287
Date: 20 May 2021
Ownership: Direct

ROKU transaction

Class A Common Stock

Conversion of derivative security

Transaction value: $5,640
Shares: +1,000
Change %: +23%
Price: $5.64^*
Shares after: 5,287
Date: 24 May 2021
Ownership: Direct

ROKU transaction

Class A Common Stock

Sale

Transaction value: $340,000
Shares: -1,000
Change %: -19%
Price: $340.00
Shares after: 4,287
Date: 24 May 2021
Ownership: Direct

ROKU transaction

Class A Common Stock

Conversion of derivative security

Transaction value: $5,640
Shares: +1,000
Change %: +23%
Price: $5.64^*
Shares after: 5,287
Date: 24 May 2021
Ownership: Direct

ROKU transaction

Class A Common Stock

Sale

Transaction value: $350,000
Shares: -1,000
Change %: -19%
Price: $350.00
Shares after: 4,287
Date: 24 May 2021
Ownership: Direct

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

ROKU transaction Derivative

Employee Stock Option (Right to Buy)

Options Exercise

Transaction value: $5,640
Shares: -1,000
Change %: -9.2%
Price: $5.64^*
Shares after: 9,833
Date: 20 May 2021
Ownership: Direct
Underlying class: Class B Common Stock
Underlying amount: 1,000
Exercise price: $5.64
Footnotes: F1

ROKU transaction Derivative

Class B Common Stock

Options Exercise

Transaction value: $5,640
Shares: +1,000
Change %
Price: $5.64^*
Shares after: 1,000
Date: 20 May 2021
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 1,000
Exercise price: $5.64
Footnotes: F2

ROKU transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value: $5,640
Shares: -1,000
Change %: -100%
Price: $5.64^*
Shares after: 0
Date: 20 May 2021
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 1,000
Exercise price: $5.64
Footnotes: F2

ROKU transaction Derivative

Employee Stock Option (Right to Buy)

Options Exercise

Transaction value: $5,640
Shares: -1,000
Change %: -10%
Price: $5.64^*
Shares after: 8,833
Date: 24 May 2021
Ownership: Direct
Underlying class: Class B Common Stock
Underlying amount: 1,000
Exercise price: $5.64
Footnotes: F1

ROKU transaction Derivative

Class B Common Stock

Options Exercise

Transaction value: $5,640
Shares: +1,000
Change %
Price: $5.64^*
Shares after: 1,000
Date: 24 May 2021
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 1,000
Exercise price: $5.64
Footnotes: F2

ROKU transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value: $5,640
Shares: -1,000
Change %: -100%
Price: $5.64^*
Shares after: 0
Date: 24 May 2021
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 1,000
Exercise price: $5.64
Footnotes: F2

ROKU transaction Derivative

Employee Stock Option (Right to Buy)

Options Exercise

Transaction value: $5,640
Shares: -1,000
Change %: -11%
Price: $5.64^*
Shares after: 7,833
Date: 24 May 2021
Ownership: Direct
Underlying class: Class B Common Stock
Underlying amount: 1,000
Exercise price: $5.64
Footnotes: F1

ROKU transaction Derivative

Class B Common Stock

Options Exercise

Transaction value: $5,640
Shares: +1,000
Change %
Price: $5.64^*
Shares after: 1,000
Date: 24 May 2021
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 1,000
Exercise price: $5.64
Footnotes: F2

ROKU transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value: $5,640
Shares: -1,000
Change %: -100%
Price: $5.64^*
Shares after: 0
Date: 24 May 2021
Ownership: Direct
Underlying class: Class A Common Stock
Underlying amount: 1,000
Exercise price: $5.64
Footnotes: F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote F1

This stock option is fully vested.

Footnote F2

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.