4//SEC Filing
Henricks Alan S. 4
Accession 0001716837-21-000055
CIK 0001428439other
Filed
May 23, 8:00 PM ET
Accepted
May 24, 6:03 PM ET
Size
33.7 KB
Accession
0001716837-21-000055
Insider Transaction Report
Form 4
ROKU, INCROKU
Henricks Alan S.
Director
Transactions
- Conversion
Class A Common Stock
2021-05-24$5.64/sh+1,000$5,640→ 5,287 total - Sale
Class A Common Stock
2021-05-24$350.00/sh−1,000$350,000→ 4,287 total - Sale
Class A Common Stock
2021-05-20$331.00/sh−1,000$331,000→ 4,287 total - Exercise/Conversion
Employee Stock Option (Right to Buy)
2021-05-24$5.64/sh−1,000$5,640→ 8,833 totalExercise: $5.64Exp: 2026-05-16→ Class B Common Stock (1,000 underlying) - Exercise/Conversion
Employee Stock Option (Right to Buy)
2021-05-24$5.64/sh−1,000$5,640→ 7,833 totalExercise: $5.64Exp: 2026-05-16→ Class B Common Stock (1,000 underlying) - Exercise/Conversion
Class B Common Stock
2021-05-24$5.64/sh+1,000$5,640→ 1,000 totalExercise: $5.64Exp: 2026-05-16→ Class A Common Stock (1,000 underlying) - Conversion
Class A Common Stock
2021-05-20$5.64/sh+1,000$5,640→ 5,287 total - Sale
Class A Common Stock
2021-05-24$340.00/sh−1,000$340,000→ 4,287 total - Conversion
Class A Common Stock
2021-05-24$5.64/sh+1,000$5,640→ 5,287 total - Conversion
Class B Common Stock
2021-05-20$5.64/sh−1,000$5,640→ 0 totalExercise: $5.64Exp: 2026-05-16→ Class A Common Stock (1,000 underlying) - Conversion
Class B Common Stock
2021-05-24$5.64/sh−1,000$5,640→ 0 totalExercise: $5.64Exp: 2026-05-16→ Class A Common Stock (1,000 underlying) - Exercise/Conversion
Class B Common Stock
2021-05-24$5.64/sh+1,000$5,640→ 1,000 totalExercise: $5.64Exp: 2026-05-16→ Class A Common Stock (1,000 underlying) - Conversion
Class B Common Stock
2021-05-24$5.64/sh−1,000$5,640→ 0 totalExercise: $5.64Exp: 2026-05-16→ Class A Common Stock (1,000 underlying) - Exercise/Conversion
Employee Stock Option (Right to Buy)
2021-05-20$5.64/sh−1,000$5,640→ 9,833 totalExercise: $5.64Exp: 2026-05-16→ Class B Common Stock (1,000 underlying) - Exercise/Conversion
Class B Common Stock
2021-05-20$5.64/sh+1,000$5,640→ 1,000 totalExercise: $5.64Exp: 2026-05-16→ Class A Common Stock (1,000 underlying)
Footnotes (2)
- [F1]This stock option is fully vested.
- [F2]Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock.
Documents
Issuer
ROKU, INC
CIK 0001428439
Entity typeother
Related Parties
1- filerCIK 0001513957
Filing Metadata
- Form type
- 4
- Filed
- May 23, 8:00 PM ET
- Accepted
- May 24, 6:03 PM ET
- Size
- 33.7 KB