SEC Form 4 · accession 0001716837-18-000088
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
Nov 15, 2018
Accepted (ET)
Nov 19, 2018 · 5:08 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 15, 2018 | M | 3,355 | $0.00 | A | 3,355 | D | |
| Coomon StockF1 | Nov 15, 2018 | F | 1,652 | $44.53 | D | 1,703 | 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 UnitF2 | $0.00 | Nov 15, 2018 | M | 3,355 | D | Nov 15, 2018 | — | Common Stock | 3,355 | 36,916 | D |
Explanation of responses
- F1Represents shares withheld for the payment of applicable income and payroll withholding taxes due at vest.
- F2This RSU vests in 12 equal quarterly installments with the first vest occurring on November 15, 2018.