4//SEC Filing
Smith Chas 4
Accession 0001716837-19-000055
CIK 0001428439other
Filed
Apr 1, 8:00 PM ET
Accepted
Apr 2, 4:59 PM ET
Size
44.7 KB
Accession
0001716837-19-000055
Insider Transaction Report
Form 4
ROKU, INCROKU
Smith Chas
GM, Sr. VP Roku TV & Players
Transactions
- Sale
Class A Common Stock
2019-03-29$64.33/sh−2,289$147,257→ 0 total - Conversion
Class A Common Stock
2019-03-29$5.64/sh+315$1,777→ 315 total - Conversion
Class A Common Stock
2019-03-29$5.64/sh+11,111$62,666→ 11,111 total - Sale
Class A Common Stock
2019-03-29$64.33/sh−10,611$682,631→ 500 total - Sale
Class A Common Stock
2019-03-29$64.35/sh−500$32,175→ 0 total - Conversion
Class B Common Stock
2019-03-29$5.64/sh−2,289$12,910→ 0 totalExercise: $5.64Exp: 2026-05-16→ Class A Common Stock (2,289 underlying) - Exercise/Conversion
Class B Common Stock
2019-03-29$5.64/sh+315$1,777→ 315 totalExercise: $5.64Exp: 2026-05-16→ Class A Common Stock (315 underlying) - Exercise/Conversion
Employee Stock Option (right to buy)
2019-03-29$5.64/sh−2,605$14,692→ 0 totalExercise: $5.64Exp: 2025-03-22→ Class B Common Stock (2,605 underlying) - Exercise/Conversion
Employee Stock Option (right to buy)
2019-03-29$5.64/sh−2,289$12,910→ 32,039 totalExercise: $5.64Exp: 2026-05-16→ Class B Common Stock (2,289 underlying) - Exercise/Conversion
Class B Common Stock
2019-03-29$5.64/sh+2,289$12,910→ 2,289 totalExercise: $5.64Exp: 2026-05-16→ Class A Common Stock (2,289 underlying) - Conversion
Class B Common Stock
2019-03-29$5.64/sh−11,111$62,666→ 0 totalExercise: $5.64Exp: 2026-11-07→ Class A Common Stock (11,111 underlying) - Conversion
Class B Common Stock
2019-03-29$5.64/sh−2,605$14,692→ 0 totalExercise: $5.64Exp: 2025-03-22→ Class A Common Stock (2,605 underlying) - Exercise/Conversion
Employee Stock Option (right to buy)
2019-03-29$5.64/sh−315$1,777→ 4,420 totalExercise: $5.64Exp: 2026-05-16→ Class B Common Stock (315 underlying) - Conversion
Class A Common Stock
2019-03-29$5.64/sh+2,605$14,692→ 2,605 total - Conversion
Class A Common Stock
2019-03-29$5.64/sh+2,289$12,910→ 2,289 total - Conversion
Class B Common Stock
2019-03-29$5.64/sh−315$1,777→ 0 totalExercise: $5.64Exp: 2026-05-16→ Class A Common Stock (315 underlying) - Sale
Class A Common Stock
2019-03-29$64.33/sh−2,605$167,586→ 0 total - Sale
Class A Common Stock
2019-03-29$64.33/sh−315$20,265→ 0 total - Exercise/Conversion
Class B Common Stock
2019-03-29$5.64/sh+2,605$14,692→ 2,605 totalExercise: $5.64Exp: 2025-03-22→ Class A Common Stock (2,605 underlying) - Exercise/Conversion
Employee Stock Option (right to buy)
2019-03-29$5.64/sh−11,111$62,666→ 66,667 totalExercise: $5.64Exp: 2026-11-07→ Class B Common Stock (11,111 underlying) - Exercise/Conversion
Class B Common Stock
2019-03-29$5.64/sh+11,111$62,666→ 11,111 totalExercise: $5.64Exp: 2026-11-07→ Class A Common Stock (11,111 underlying)
Footnotes (8)
- [F1]Shares sold pursuant to Mr. Smith's 10b5-1 plan.
- [F2]The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.76 to $64.75 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.
- [F3]The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.78 to $65.00 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.
- [F4]Granted March 23, 2015, vests monthly over 4 years. Fully vested as of 3/23/2019.
- [F5]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.
- [F6]Granted November 8, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020.
- [F7]Granted December 20, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020.
- [F8]Granted November 8, 2016, vests monthly over 1 year from vest base date 9/2/18. Fully vested as of 9/2/2019.
Documents
Issuer
ROKU, INC
CIK 0001428439
Entity typeother
Related Parties
1- filerCIK 0001716838
Filing Metadata
- Form type
- 4
- Filed
- Apr 1, 8:00 PM ET
- Accepted
- Apr 2, 4:59 PM ET
- Size
- 44.7 KB