SEC Form 4 · accession 0001767033-26-000010
ROKU, INC · ROKU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mustafa Ozgen
Officer — Pres, Devices, Prod, and Tech
Period of report
Sep 1, 2026
Accepted (ET)
Sep 3, 2026 · 7:39 pm EDT
Rule 10b5-1 plan
yes — trade under a plan
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 | Sep 1, 2026 | M | 16,151 | $0.00 | A | 35,336 | D | |
| Class A Common StockF1 | Sep 1, 2026 | F | 6,357 | $155.53 | D | 28,979 | D | |
| Class A Common StockF2 | Sep 2, 2026 | S | 3,410 | $155.64 | D | 25,569 | 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 UnitF3,F4 | — | Sep 1, 2026 | M | 4,910 | D | — | — | Class A Common Stock | 4,910 | 0 | D |
| Restricted Stock UnitF3,F5 | — | Sep 1, 2026 | M | 6,790 | D | — | — | Class A Common Stock | 6,790 | 27,159 | D |
| Restricted Stock UnitF3,F6 | — | Sep 1, 2026 | M | 4,451 | D | — | — | Class A Common Stock | 4,451 | 35,604 | D |
Explanation of responses
- F1Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of certain RSU awards on September 1, 2026.
- F2Shares sold pursuant to Mr. Ozgen's 10b5-1 plan.
- F3Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.
- F4This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023.
- F5This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2024.
- F6This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2025 (or the next business day).