Anthony J. Wood - Mar 1, 2024 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
Mar 1, 2024
Transactions value $
-$206,394
Form type
4
Date filed
3/5/2024, 08:40 PM
Previous filing
Feb 29, 2024
Next filing
Mar 15, 2024

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 $0.00 8.28K Mar 1, 2024 Direct
transaction ROKU Class A Common Stock Tax liability -$206K -3.26K -39.36% $63.35 5.02K Mar 1, 2024 Direct F1
holding ROKU Class A Common Stock 42.5K Mar 1, 2024 Wood 2020 Irrevocable Trust
holding ROKU Class A Common Stock 6.85K Mar 1, 2024 The Anthony J. Wood 2022 Annuity Trust V
holding ROKU Class A Common Stock 54.7K Mar 1, 2024 The Anthony J. Wood 2022 Annuity Trust V-B
holding ROKU Class A Common Stock 45.3K Mar 1, 2024 The Anthony J. Wood 2023 Annuity Trust V-B
holding ROKU Class A Common Stock 41.9K Mar 1, 2024 The Anthony J. Wood 2023 Annuity Trust V
holding ROKU Class A Common Stock 280K Mar 1, 2024 The Anthony J. Wood 2024 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 -9.09% $0.00 82.8K Mar 1, 2024 Class A Common Stock 8.28K Direct F2, F3
transaction ROKU Employee Stock Option (right to buy) Award $0 +711 $0.00 711 Mar 1, 2024 Class A Common Stock 711 $63.35 Direct F4
transaction ROKU Employee Stock Option (right to buy) Award $0 +6.63K $0.00 6.63K Mar 1, 2024 Class A Common Stock 6.63K $63.35 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 March 1, 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 $233,333.33.