SEC Form 4 · accession 0001716837-19-000040
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
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 9:02 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 Stock | Mar 1, 2019 | M | 3,356 | $0.00 | A | 5,059 | D | |
| Class A Common StockF1 | Mar 1, 2019 | S | 1,149 | $69.08 | D | 3,910 | 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 | Mar 1, 2019 | M | 3,356 | D | Nov 15, 2018 | — | Class A Common Stock | 3,356 | 33,560 | D |
Explanation of responses
- F1Represents shares withheld for the payment of applicable income and payroll withholding taxes due at vest.
- F2This RSU vests ratably in 12 quarterly installments with the first vest occurring on November 15, 2018.