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ROKU, INC — Director's Dealing 2024
Jun 5, 2024
30414_dirs_2024-06-05_d4e00db0-e363-46da-84b4-675e45e1e55a.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: 2024-06-03
Reporting Person: Wood Anthony J. (Director, CEO and Chairman BOD, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-06-03 | Class A Common Stock | M | 8277 | — | Acquired | 13297 | Direct |
| 2024-06-03 | Class A Common Stock | F | 3257 | $57.94 | Disposed | 10040 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-06-03 | Restricted Stock Unit | $ | M | 8277 | Disposed | Class A Common Stock (8277) | Direct | |
| 2024-06-03 | Employee Stock Option (right to buy) | $57.94 | A | 776 | Acquired | 2034-06-02 | Class A Common Stock (776) | Direct |
| 2024-06-03 | Employee Stock Option (right to buy) | $57.94 | A | 7248 | Acquired | 2034-06-02 | Class A Common Stock (7248) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 42500 | Indirect |
| Class A Common Stock | 6849 | Indirect |
| Class A Common Stock | 54702 | Indirect |
| Class A Common Stock | 45298 | Indirect |
| Class A Common Stock | 41851 | Indirect |
| Class A Common Stock | 279801 | Indirect |
Footnotes
F1: Represents 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 June 3, 2024.
F2: Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.
F3: This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023.
F4: This stock option was awarded to the reporting person by the Compensation Committee of the Issuer's Board of Directors pursuant to the Issuer's Executive Supplemental Stock Option Program in exchange for a reduction in the monthly base salary of the reporting person of approximately $25,000.00.
F5: This stock option was awarded to the reporting person by the Compensation Committee of the Issuer's Board of Directors in exchange for a reduction in the monthly base salary of the reporting person of $233,333.34.