SEC Form 4/A · accession 0001716837-19-000039
ROKU, INC · ROKU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Scott A. Rosenberg
Officer — GM, Sr. VP Platform Business
Period of report
Jan 2, 2019
Accepted (ET)
Mar 5, 2019 · 9:01 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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2 | Jan 2, 2019 | C | 25,000 | $8.82 | A | 26,703 | D | |
| Class A Common StockF1,F2 | Jan 2, 2019 | S | 25,000 | $29.82 | D | 1,703 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan dated November 20, 2017.
- F2This Amendment is filed to correct the Amount of Securities Beneficially Owned Following Reported Trasnactions as reported previously on the Form 4 Filed January 4th 2019 (the "Original Filing"). The Original Filing did not include 1,703 shares the were held by Mr. Rosenberg as a result of an earlier RSU vest.