Form4insider filings, from the source

SEC Form 4 · accession 0001716837-18-000084

ROKU, INC · ROKU

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner
Chas Smith
Officer — GM, Sr. VP Roku TV & Players
Period of report
Oct 25, 2018
Accepted (ET)
Oct 29, 2018 · 8:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001428439

Table I — non-derivative securities

SecurityDateCodeSharesPriceA/DOwned afterD/INature of ownership
Class A Common StockF1Oct 25, 2018C22,343$2.76A22,343D
Class A Common StockF1,F11Oct 25, 2018S22,343$51.904D0D
Class A Common StockF1Oct 25, 2018C2,218$2.76A2,218D
Class A Common StockF1,F11Oct 25, 2018S2,218$51.904D0D
Class A Common StockF1Oct 25, 2018C34,013$2.76A34,013D
Class A Common StockF1,F11Oct 25, 2018S34,013$51.904D0D
Class A Common StockF1Oct 25, 2018C18,118$5.64A18,118D
Class A Common StockF1,F11Oct 25, 2018S9,185$51.904D0D
Class A Common StockF1,F12Oct 25, 2018S8,933$52.4487D0D
Class A Common StockF1Oct 25, 2018C9,117$5.64A9,117D
Class A Common StockF1,F12Oct 25, 2018S9,117$52.4487D0D
Class A Common StockF1Oct 25, 2018C2,209$5.64A2,209D
Class A Common StockF1,F12Oct 25, 2018S2,209$52.4487D0D
Class A Common StockF1Oct 25, 2018C11,111$5.64A11,111D
Class A Common StockF1,F12Oct 25, 2018S10,211$52.4487D0D
Class A Common StockF1,F13Oct 25, 2018S900$53.3022D0D

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Employee Stock Option (right to buy)F4$2.76Oct 25, 2018M22,343D—Oct 30, 2022Class B Common Stock22,3430D
Class B Common StockF2,F3$2.76Oct 25, 2018M22,343A—Oct 30, 2022Class A Common Stock22,34322,343D
Class B Common StockF2,F3$2.76Oct 25, 2018C22,343D—Oct 30, 2022Class A Common Stock22,3430D
Employee Stock Option (right to buy)F5$2.76Oct 25, 2018M2,218D—Oct 30, 2022Class B Common Stock2,2180D
Class B Common StockF2,F3$2.76Oct 25, 2018M2,218A—Oct 30, 2022Class A Common Stock2,2182,218D
Class B Common StockF2,F3$2.76Oct 25, 2018C2,218D—Oct 30, 2022Class A Common Stock2,2180D
Employee Stock Option (right to buy)F6$2.76Oct 25, 2018M34,013D—Oct 30, 2022Class B Common Stock34,0130D
Class B Common StockF2,F3$2.76Oct 25, 2018M34,013A—Oct 30, 2022Class A Common Stock34,01334,013D
Class B Common StockF2,F3$2.76Oct 25, 2018C34,013D—Oct 30, 2022Class A Common Stock34,0130D
Employee Stock Option (right to buy)F7$5.64Oct 25, 2018M18,118D—Mar 22, 2025Class B Common Stock18,11813,021D
Class B Common StockF2,F3$5.64Oct 25, 2018M18,118A—Mar 22, 2025Class A Common Stock18,11818,118D
Class B Common StockF2,F3$5.64Oct 25, 2018C18,118D—Mar 22, 2025Class A Common Stock18,1180D
Employee Stock Option (right to buy)F8$5.64Oct 25, 2018M9,117D—May 16, 2026Class B Common Stock9,11743,482D
Class B Common StockF2,F3$5.64Oct 25, 2018M9,117A—May 16, 2026Class A Common Stock9,1179,117D
Class B Common StockF2,F3$5.64Oct 25, 2018C9,117D—May 16, 2026Class A Common Stock9,1170D
Employee Stock Option (right to buy)F9$5.64Oct 25, 2018M2,209D—May 16, 2026Class B Common Stock2,2095,998D
Class B Common StockF2,F3$5.64Oct 25, 2018M2,209A—May 16, 2026Class A Common Stock2,2092,209D
Class B Common StockF2,F3$5.64Oct 25, 2018C2,209D—May 16, 2026Class A Common Stock2,2090D
Employee Stock Option (right to buy)F10$5.64Oct 25, 2018M11,111D—Nov 7, 2026Class B Common Stock11,111122,222D
Class B Common StockF2,F3$5.64Oct 25, 2018M11,111A—Nov 7, 2026Class A Common Stock11,11111,111D
Class B Common StockF2,F3$5.64Oct 25, 2018C11,111D—Nov 7, 2026Class A Common Stock11,1110D

Explanation of responses