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4//SEC Filing

Rosenberg Scott A. 4

Accession 0001716837-21-000155

CIK 0001428439other

View on SEC.gov Company Profile

Filed

Nov 22, 7:00 PM ET

Accepted

Nov 23, 4:27 PM ET

Size

16.2 KB

Accession

0001716837-21-000155

Insider Transaction Report

Form 4

Period: 2021-11-22

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 total
Exercise: $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 total
Exercise: $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 total
Exercise: $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.

Documents

2 files

Issuer

ROKU, INC

CIK 0001428439

Entity typeother

Related Parties

1

filerCIK 0001716857

Filing Metadata

Form type: 4
Filed: Nov 22, 7:00 PM ET
Accepted: Nov 23, 4:27 PM ET
Size: 16.2 KB

View on SEC.gov