SEC Form 4 · accession 0001716837-18-000054
ROKU, INC · ROKU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott A. Rosenberg
Officer — GM, Sr. VP Platform Business
Period of report
Jul 13, 2018
Accepted (ET)
Jul 17, 2018 · 4:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001428439
Table I — non-derivative securities
No Table I lines on this filing.
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 | Jul 13, 2018 | A | 40,271 | A | Nov 15, 2018 | — | Common Stock | 40,271 | 40,271 | D |
| Stock Option (right to buy)F2 | $48.76 | Jul 13, 2018 | A | 100,676 | A | Aug 13, 2018 | — | Common Stock | 100,676 | 100,676 | D |
Explanation of responses
- F1The RSU vests in 12 equal quarterly installments with the first vest occuring on November 15, 2018.
- F2The Stock Option vests monthly over 3 years with the first vest occuring on August 13, 2018.