Rosenberg Scott A. 4
4 · ROKU, INC · Filed Nov 23, 2021
Insider Transaction Report
Form 4
ROKU, INCROKU
Rosenberg Scott A.
GM, Sr. VP Advertising
Transactions
- Conversion
Class A Common Stock
2021-11-22$5.64/sh+7,500$42,300→ 22,621 total - Sale
Class A Common Stock
2021-11-22$233.56/sh−7,500$1,751,700→ 15,121 total - Conversion
Class B Common Stock
2021-11-22$5.64/sh−7,500$42,300→ 0 totalExercise: $5.64Exp: 2025-08-10→ Class A Common Stock (0 underlying) - Exercise/Conversion
Employee Stock Option (Right to Buy)
2021-11-22$5.64/sh−7,500$42,300→ 0 totalExercise: $5.64Exp: 2025-08-10→ Class B Common Stock (7,500 underlying) - Exercise/Conversion
Class B Common Stock
2021-11-22$5.64/sh+7,500$42,300→ 7,500 totalExercise: $5.64Exp: 2025-08-10→ Class A Common Stock (7,500 underlying)
Footnotes (3)
- [F1]Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan.
- [F2]This stock option is fully vested.
- [F3]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.