Key facts
- This page summarizes Stephen H. Kay's Form 4 filing for ROKU, INC (ROKU).
- 5 reported transactions and 3 derivative rows are listed below.
- Accepted by SEC: 17 Jun 2024, 19:55.
Stephen H. Kay - 13 Jun 2024 Form 4 Insider Report for ROKU, INC (ROKU)
- Reporting relationship
- SVP General Counsel, Secretary
- Issuer ticker
- ROKU
- Reported as of
- 13 Jun 2024
- Net transaction value
- -$673,973
- SEC form
- 4
- Accepted by SEC
- 17 Jun 2024, 19:55:53 UTC
- Prior SEC filing
- 05 Jun 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/Renee Strandness, attorney-in-fact
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Stephen H. Kay filed Form 4 for ROKU, INC (ROKU) on 17 Jun 2024.
Change
- Previous filing in this sequence was filed on 05 Jun 2024.
- Current net transaction value: -$673,973.
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
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
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
- Shares
- +21,993
- Change %
- +27%
- Price
- Shares after
- 104,029
- Date
- 13 Jun 2024
- Ownership
- Direct
- Footnotes
- F1
ROKU
transaction
Class A Common Stock
Sale
- Transaction value
- $673,973
- Shares
- -12,124
- Change %
- -12%
- Price
- $55.59
- Shares after
- 91,905
- Date
- 13 Jun 2024
- Ownership
- Direct
- Footnotes
- F2
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
- $134,597
- Shares
- -21,993
- Change %
- -100%
- Price
- $6.12*
- Shares after
- 0
- Date
- 13 Jun 2024
- Ownership
- Direct
- Underlying class
- Class B Common Stock
- Underlying amount
- 21,993
- Exercise price
- $6.12
- Footnotes
- F3
ROKU
transaction
Derivative
Class B Common Stock
Options Exercise
- Transaction value
- $134,597
- Shares
- +21,993
- Change %
- Price
- $6.12*
- Shares after
- 21,993
- Date
- 13 Jun 2024
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 21,993
- Exercise price
- $6.12
- Footnotes
- F1
ROKU
transaction
Derivative
Class B Common Stock
Conversion of derivative security
- Transaction value
- $0
- Shares
- -21,993
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 13 Jun 2024
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 21,993
- Exercise price
- $0.000000
- Footnotes
- F1
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Rule 10b5-1 trading plan
These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.
Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).
Explanation of responses 3 footnotes
Footnote F1
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.
Footnote F2
Shares sold pursuant to Mr. Kay's 10b5-1 plan to satisfy income tax withholding obligations in connection with the exercise of a stock option.
Footnote F3
This stock option is fully vested.