Rosenberg Scott A. 4
4 · ROKU, INC · Filed Dec 27, 2021
Insider Transaction Report
Form 4
ROKU, INCROKU
Rosenberg Scott A.
GM, Sr. VP Advertising
Transactions
- Conversion
Class A Common Stock
2021-12-23$6.12/sh+54,487$333,460→ 69,608 total - Exercise/Conversion
Employee Stock Option (Right to Buy)
2021-12-23$6.12/sh−54,487$333,460→ 7,511 totalExercise: $6.12Exp: 2027-05-15→ Class B Common Stock (54,487 underlying) - Conversion
Class B Common Stock
2021-12-23$5.70/sh−6,176$35,203→ 0 totalExercise: $5.70Exp: 2027-03-05→ Class A Common Stock (0 underlying) - Exercise/Conversion
Class B Common Stock
2021-12-23$6.12/sh+54,487$333,460→ 54,487 totalExercise: $6.12Exp: 2027-05-15→ Class A Common Stock (54,487 underlying) - Exercise/Conversion
Class B Common Stock
2021-12-23$5.70/sh+6,176$35,203→ 6,176 totalExercise: $5.70Exp: 2027-03-05→ Class A Common Stock (6,176 underlying) - Conversion
Class A Common Stock
2021-12-23$5.70/sh+6,176$35,203→ 75,784 total - Conversion
Class B Common Stock
2021-12-23$6.12/sh−54,487$333,460→ 0 totalExercise: $6.12Exp: 2027-05-15→ Class A Common Stock (0 underlying) - Exercise/Conversion
Employee Stock Option (Right to Buy)
2021-12-23$5.70/sh−6,176$35,203→ 35,613 totalExercise: $5.70Exp: 2027-03-05→ Class B Common Stock (6,176 underlying)
Holdings
- 26,253(indirect: By Trust)
Class A Common Stock
Footnotes (2)
- [F1]This 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.