Filing Details

Accession Number:
0001716837-22-000009
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-02-16 17:44:37
Reporting Period:
2022-02-15
Accepted Time:
2022-02-16 17:44:37
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
1716837 J. Anthony Wood C/O Roku, Inc.
1155 Coleman
San Jose CA 95110
Ceo And Chairman Bod Yes Yes Yes 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 2022-02-15 40,000 $0.00 65,000 No 4 C Indirect Wood Revocable Trust
Class A Common Stock Acquisiton 2022-02-15 40,000 $5.64 40,000 No 4 C Direct
Class A Common Stock Disposition 2022-02-15 40,000 $5.64 0 No 5 G Direct
Class A Common Stock Acquisiton 2022-02-15 40,000 $5.64 105,000 No 5 G Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 1,900 $157.47 103,100 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 2,896 $158.71 100,204 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 3,891 $159.80 96,313 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 4,900 $160.70 91,413 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 4,625 $161.55 86,788 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 6,906 $162.74 79,882 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 11,091 $163.71 68,791 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 10,418 $164.65 58,373 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 10,100 $165.56 48,273 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 10,800 $166.59 37,473 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 7,149 $167.89 30,324 No 4 S Indirect Wood Revocable Trust
Class A Common Stock Disposition 2022-02-15 5,324 $168.34 25,000 No 4 S Indirect Wood Revocable Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect Wood Revocable Trust
No 4 C Direct
No 5 G Direct
No 5 G Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
No 4 S Indirect Wood Revocable Trust
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Class B Common Stock Disposition 2022-02-15 40,000 $0.00 40,000 $0.00
Class B Common Stock Employee Stock Option (Right to Buy) Disposition 2022-02-15 40,000 $5.64 40,000 $5.64
Class A Common Stock Class B Common Stock Acquisiton 2022-02-15 40,000 $5.64 40,000 $5.64
Class A Common Stock Class B Common Stock Disposition 2022-02-15 40,000 $5.64 40,000 $5.64
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
15,995,815 No 4 C Indirect
704,163 2025-08-10 No 4 M Direct
40,000 2025-08-10 No 4 M Direct
0 2025-08-10 No 4 C Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 36,000 Indirect Wood 2020 Irrevocable Trust
Footnotes
  1. 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.
  2. Shares sold pursuant to a Rule 10b5-1 Sales Plan.
  3. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $157.01 to $157.99 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  4. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $158.11 to $159.09 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  5. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $159.14 to $160.13 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  6. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $160.15 to $161.14 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  7. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.15 to $161.95 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  8. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.15 to $163.12 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  9. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.15 to $164.14 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  10. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.15 to $165.13 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  11. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $165.15 to $166.10 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  12. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $166.15 to $167.08 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  13. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.17 to $168.16 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  14. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.17 to $168.56 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  15. This stock option is fully vested.