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4//SEC Filing

Rosenberg Scott A. 4

Accession 0001716837-21-000163

CIK 0001428439other

View on SEC.gov Company Profile

Filed

Dec 26, 7:00 PM ET

Accepted

Dec 27, 4:28 PM ET

Size

22.8 KB

Accession

0001716837-21-000163

Insider Transaction Report

Form 4

Period: 2021-12-23

Rosenberg Scott A.

GM, Sr. VP Advertising

Transactions

Conversion
Class A Common Stock
2021-12-23$6.12/sh+54,487$333,460→ 69,608 total
Exercise/Conversion
Employee Stock Option (Right to Buy)
2021-12-23$6.12/sh−54,487$333,460→ 7,511 total
Exercise: $6.12Exp: 2027-05-15→ Class B Common Stock (54,487 underlying)
Conversion
Class B Common Stock
2021-12-23$5.70/sh−6,176$35,203→ 0 total
Exercise: $5.70Exp: 2027-03-05→ Class A Common Stock (0 underlying)
Exercise/Conversion
Class B Common Stock
2021-12-23$6.12/sh+54,487$333,460→ 54,487 total
Exercise: $6.12Exp: 2027-05-15→ Class A Common Stock (54,487 underlying)
Exercise/Conversion
Class B Common Stock
2021-12-23$5.70/sh+6,176$35,203→ 6,176 total
Exercise: $5.70Exp: 2027-03-05→ Class A Common Stock (6,176 underlying)
Conversion
Class A Common Stock
2021-12-23$5.70/sh+6,176$35,203→ 75,784 total
Conversion
Class B Common Stock
2021-12-23$6.12/sh−54,487$333,460→ 0 total
Exercise: $6.12Exp: 2027-05-15→ Class A Common Stock (0 underlying)
Exercise/Conversion
Employee Stock Option (Right to Buy)
2021-12-23$5.70/sh−6,176$35,203→ 35,613 total
Exercise: $5.70Exp: 2027-03-05→ Class B Common Stock (6,176 underlying)

Holdings

Class A Common Stock
(indirect: By Trust)
26,253

Footnotes (2)

[F1]This option is fully vested.
[F2]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: Dec 26, 7:00 PM ET
Accepted: Dec 27, 4:28 PM ET
Size: 22.8 KB

View on SEC.gov