Filing Details
- Accession Number:
- 0001716837-18-000039
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-06-04 17:35:06
- Reporting Period:
- 2018-05-31
- Accepted Time:
- 2018-06-04 17:35:06
- SEC Url:
- Form 4 Filing
Issuer
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1247487 | H Stephen Kay | C/O Roku, Inc. 150 Winchester Circle Los Gatos CA 95032 | Svp General Counsel, Secretary | 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 | 2018-05-31 | 34,013 | $2.94 | 34,013 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2018-05-31 | 1,951 | $5.64 | 35,964 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2018-05-31 | 14,036 | $5.64 | 50,000 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2018-06-01 | 30,000 | $2.94 | 30,000 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2018-06-01 | 30,000 | $36.65 | 0 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2018-06-01 | 6,000 | $2.94 | 6,000 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2018-06-01 | 6,000 | $36.50 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | 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 | 2018-05-31 | 34,013 | $2.94 | 34,013 | $2.94 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2018-05-31 | 34,013 | $2.94 | 34,013 | $2.94 |
| Class A Common Stock | Class B Common Stock | Disposition | 2018-05-31 | 34,013 | $2.94 | 34,013 | $2.94 |
| Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2018-05-31 | 1,951 | $5.64 | 1,951 | $5.64 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2018-05-31 | 1,951 | $5.64 | 1,951 | $5.64 |
| Class A Common Stock | Class B Common Stock | Disposition | 2018-05-31 | 1,951 | $5.64 | 1,951 | $5.64 |
| Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2018-05-31 | 14,036 | $5.64 | 14,036 | $5.64 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2018-05-31 | 14,036 | $5.64 | 14,036 | $5.64 |
| Class A Common Stock | Class B Common Stock | Disposition | 2018-05-31 | 14,036 | $5.64 | 14,036 | $5.64 |
| Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2018-06-01 | 30,000 | $2.94 | 30,000 | $2.94 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2018-06-01 | 30,000 | $2.94 | 30,000 | $2.94 |
| Class A Common Stock | Class B Common Stock | Disposition | 2018-06-01 | 30,000 | $2.94 | 30,000 | $2.94 |
| Class B Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2018-06-01 | 6,000 | $2.94 | 6,000 | $2.94 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2018-06-01 | 6,000 | $2.94 | 6,000 | $2.94 |
| Class A Common Stock | Class B Common Stock | Disposition | 2018-06-01 | 6,000 | $2.94 | 6,000 | $2.94 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-01-23 | No | 4 | M | Direct | |
| 34,013 | 2024-01-23 | No | 4 | M | Direct | |
| 0 | 2024-01-23 | No | 4 | C | Direct | |
| 15,779 | 2026-11-08 | No | 4 | M | Direct | |
| 1,951 | 2026-11-08 | No | 4 | M | Direct | |
| 0 | 2026-11-08 | No | 4 | C | Direct | |
| 3,694 | 2025-03-22 | No | 4 | M | Direct | |
| 14,036 | 2025-03-22 | No | 4 | M | Direct | |
| 0 | 2025-03-22 | No | 4 | C | Direct | |
| 243,216 | 2024-01-23 | No | 4 | M | Direct | |
| 30,000 | 2024-01-23 | No | 4 | M | Direct | |
| 0 | 2024-01-23 | No | 4 | C | Direct | |
| 84,040 | 2024-01-23 | No | 4 | M | Direct | |
| 6,000 | 2024-01-23 | No | 4 | M | Direct | |
| 0 | 2024-01-23 | No | 4 | C | Direct |
Footnotes
- 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. 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 on footnote 2)
- (footnote 1 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.
- Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017.
- Options were 1/4 vested on 12/31/14 then 1/48th monthly thereafter over a total of 4 years.
- Options vested monthly (1/12th) over one year, first vest 2/2/18.
- Options vest monthly (1/48th) over four years from first vest 4/23/15.
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