Anthony J. Wood - Nov 15, 2023 Form 4 Insider Report for ROKU, INC (ROKU)

Role
CEO and Chairman BOD, Director, 10%+ Owner
Signature
/s/ Renee Strandness, attorney-in-fact
Stock symbol
ROKU
Transactions as of
Nov 15, 2023
Transactions value $
-$296,737
Form type
4
Date filed
11/17/2023, 06:30 PM
Previous filing
Nov 7, 2023
Next filing
Dec 5, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROKU Class A Common Stock Options Exercise $0 +8.28K +6.07% $0.00 145K Nov 15, 2023 Direct
transaction ROKU Class A Common Stock Sale -$297K -3.33K -2.31% $89.03 141K Nov 16, 2023 Direct F1
holding ROKU Class A Common Stock 42.5K Nov 15, 2023 Wood 2020 Irrevocable Trust
holding ROKU Class A Common Stock 6.85K Nov 15, 2023 The Anthony J. Wood 2022 Annuity Trust V
holding ROKU Class A Common Stock 54.7K Nov 15, 2023 The Anthony J. Wood 2022 Annuity Trust V-B
holding ROKU Class A Common Stock 45.3K Nov 15, 2023 The Anthony J. Wood 2023 Annuity Trust V-B
holding ROKU Class A Common Stock 41.9K Nov 15, 2023 The Anthony J. Wood 2023 Annuity Trust V

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ROKU Restricted Stock Unit Options Exercise $0 -8.28K -8.33% $0.00 91.1K Nov 15, 2023 Class A Common Stock 8.28K Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 November 15, 2023.
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.