Filing Details

Accession Number:
0001716837-18-000080
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-10-04 20:21:01
Reporting Period:
2018-10-02
Accepted Time:
2018-10-04 20:21:01
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 Platform Busines 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 2018-10-02 1,000 $5.64 1,000 No 4 C Direct
Class A Common Stock Disposition 2018-10-02 1,000 $75.19 0 No 4 S Direct
Class A Common Stock Acquisiton 2018-10-02 24,000 $5.70 24,000 No 4 C Direct
Class A Common Stock Disposition 2018-10-02 24,000 $75.19 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
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 2018-10-02 1,000 $5.64 1,000 $5.64
Class A Common Stock Class B Common Stock Acquisiton 2018-10-02 1,000 $5.64 1,000 $5.64
Class A Common Stock Class B Common Stock Disposition 2018-10-02 1,000 $5.64 1,000 $5.64
Class B Common Stock Employee Stock Option (right to buy) Disposition 2018-10-02 24,000 $5.70 24,000 $5.70
Class A Common Stock Class B Common Stock Acquisiton 2018-10-02 24,000 $5.70 24,000 $5.70
Class A Common Stock Class B Common Stock Disposition 2018-10-02 24,000 $5.70 24,000 $5.70
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
52,520 2016-12-15 2026-11-14 No 4 M Direct
1,000 2026-11-14 No 4 M Direct
0 2026-11-14 No 4 C Direct
41,789 2017-03-14 2027-03-05 No 4 M Direct
24,000 2027-03-05 No 4 M Direct
0 2027-03-05 No 4 C Direct
Footnotes
  1. Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan dated November 21, 2017.
  2. Granted November 15, 2016; 1/48 of the Option vests in equal monthly installments from grant date.
  3. 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 4)
  4. (footnote 3 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.
  5. Granted March 6, 2017; 1/48 of the Option vests in equal monthly installments from 2/14/17 vest base date.