SEC Form 4 · accession 0001716837-18-000032
ROKU, INC · ROKU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan S. Henricks
Director
Period of report
May 24, 2018
Accepted (ET)
May 29, 2018 · 6:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001428439
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2 | May 24, 2018 | S | 5,000 | $35.791 | D | 38,333 | D | |
| Class A Common Stock | May 25, 2018 | S | 5,000 | $36.75 | D | 33,333 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | $0.00 | May 24, 2018 | A | 2,222 | A | — | — | Common Stock | 2,222 | 2,222 | D |
| Stock Option (right to buy)F3 | $35.99 | May 24, 2018 | A | 5,856 | A | Jun 24, 2018 | May 24, 2028 | Common Stock | 5,856 | 5,856 | D |
Explanation of responses
- F1All shares vest on the 12 month anniversary of the grant date.
- F2The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.79 to $35.81per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities adn Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The option will vest in 12 monthly installments from grant date.