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ROKU, INC — Director's Dealing 2022
Sep 6, 2022
30414_dirs_2022-09-06_b10e7f3c-e89f-47a0-acf8-b101d29257a5.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2022-09-01
Reporting Person: Ozgen Mustafa (SVP and GM of Account Acquisit)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-09-01 | Class A Common Stock | M | 17289 | — | Acquired | 17289 | Direct |
| 2022-09-02 | Class A Common Stock | S | 8749 | $66.94 | Disposed | 8540 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-09-01 | Restricted Stock Unit | $ | M | 9989 | Disposed | Class A Common Stock (9989) | Direct | |
| 2022-09-01 | Restricted Stock Unit | $ | M | 4758 | Disposed | Class A Common Stock (4758) | Direct | |
| 2022-09-01 | Restricted Stock Unit | $ | M | 2542 | Disposed | Class A Common Stock (2542) | Direct |
Footnotes
F1: These shares were sold by the Issuer in order to meet the tax withholding obligations of the reporting person in connection with the vesting of certain RSU awards on September 1, 2022.
F2: Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.
F3: This RSU vests in 16 substantially equal quarterly installments. The first installment vested on June 1, 2019.
F4: This RSU vests in 12 substantially equal quarterly installments. The first installment vested on September 1, 2022.
F5: This RSU vests in 4 substantially equal quarterly installments. The first installment vested on September 1, 2022.