Filing Details
- Accession Number:
- 0001716837-18-000011
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-04-04 20:32:49
- Reporting Period:
- 2018-04-02
- Accepted Time:
- 2018-04-04 20:32:49
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1428439 | Roku Inc | ROKU | Cable & Other Pay Television Services (4841) | 262087865 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1716857 | A. Scott Rosenberg | C/O Roku, Inc. 150 Winchester Circle Los Gatos CA 95032 | Gm, Sr. Vp Advertising | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class A Common Stock | Acquisiton | 2018-04-02 | 5,434 | $2.76 | 5,434 | No | 4 | C | Direct | |
Class A Common Stock | Disposition | 2018-04-02 | 5,434 | $30.46 | 0 | No | 4 | S | Direct | |
Class A Common Stock | Acquisiton | 2018-04-02 | 11,231 | $2.76 | 11,231 | No | 4 | C | Direct | |
Class A Common Stock | Disposition | 2018-04-02 | 11,231 | $30.46 | 0 | No | 4 | S | Direct | |
Class A Common Stock | Acquisiton | 2018-04-02 | 8,335 | $6.12 | 8,335 | No | 4 | C | Direct | |
Class A Common Stock | Disposition | 2018-04-02 | 8,335 | $30.46 | 0 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | S | Direct | |
No | 4 | C | Direct | |
No | 4 | S | Direct | |
No | 4 | C | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2018-04-02 | 5,434 | $2.76 | 5,434 | $2.76 |
Class A Common Stock | Class B Common Stock | Acquisiton | 2018-04-02 | 5,434 | $2.76 | 5,434 | $2.76 |
Class A Common Stock | Class B Common Stock | Disposition | 2018-04-02 | 5,434 | $2.76 | 5,434 | $2.76 |
Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2018-04-02 | 11,231 | $2.76 | 11,231 | $2.76 |
Class A Common Stock | Class B Common Stock | Acquisiton | 2018-04-02 | 11,231 | $2.76 | 11,231 | $2.76 |
Class A Common Stock | Class B Common Stock | Disposition | 2018-04-02 | 11,231 | $2.76 | 11,231 | $2.76 |
Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2018-04-02 | 8,335 | $6.12 | 8,335 | $6.12 |
Class A Common Stock | Class B Common Stock | Acquisiton | 2018-04-02 | 8,335 | $6.12 | 8,335 | $6.12 |
Class A Common Stock | Class B Common Stock | Disposition | 2018-04-02 | 8,335 | $6.12 | 8,335 | $6.12 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2023-02-05 | No | 4 | M | Direct | |
5,434 | 2023-02-05 | No | 4 | M | Direct | |
0 | 2023-02-05 | No | 4 | C | Direct | |
74,998 | 2023-02-05 | No | 4 | M | Direct | |
11,231 | 2023-02-05 | No | 4 | M | Direct | |
0 | 2023-02-05 | No | 4 | C | Direct | |
25,000 | 2027-05-15 | No | 4 | M | Direct | |
8,335 | 2027-05-15 | No | 4 | M | Direct | |
0 | 2027-05-15 | No | 4 | C | Direct |
Footnotes
- Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan dated November 21, 2017.
- 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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into 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, (continued in footnote 3)
- (footnote 4 continued), (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.
- Granted February 05, 2013; vests one-fourth (1/4) on the first anniversary of the date of grant and the remaining three-fourths (3/4) vesting in equal monthly increments over the next three years.
- Granted May 16, 2017; 1/48 of the Option vests in equal monthly installments from 3/23/15.