Anthony J. Wood - Aug 2, 2021 Form 4 Insider Report for ROKU, INC (ROKU)

Signature
/s/ Christy Lillquist, attorney-in-fact
Stock symbol
ROKU
Transactions as of
Aug 2, 2021
Transactions value $
-$36,071,602
Form type
4
Date filed
8/3/2021, 06:31 PM
Previous filing
Jul 19, 2021
Next filing
Aug 18, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROKU Class A Common Stock Conversion of derivative security +40K +160% 65K Aug 2, 2021 Wood Revocable Trust F1
transaction ROKU Class A Common Stock Conversion of derivative security $124K +45K $2.76* 45K Aug 2, 2021 Direct
transaction ROKU Class A Common Stock Gift -$124K -45K -100% $2.76* 0 Aug 2, 2021 Direct
transaction ROKU Class A Common Stock Gift $124K +45K +69.23% $2.76* 110K Aug 2, 2021 Wood Revocable Trust
transaction ROKU Class A Common Stock Sale -$291K -700 -0.64% $416.28* 109K Aug 2, 2021 Wood Revocable Trust F2, F3
transaction ROKU Class A Common Stock Sale -$167K -400 -0.37% $417.69* 109K Aug 2, 2021 Wood Revocable Trust F2, F4
transaction ROKU Class A Common Stock Sale -$2.01M -4.8K -4.41% $419.36* 104K Aug 2, 2021 Wood Revocable Trust F2, F5
transaction ROKU Class A Common Stock Sale -$2.39M -5.69K -5.47% $420.33* 98.4K Aug 2, 2021 Wood Revocable Trust F2, F6
transaction ROKU Class A Common Stock Sale -$5.72M -13.6K -13.78% $421.43* 84.8K Aug 2, 2021 Wood Revocable Trust F2, F7
transaction ROKU Class A Common Stock Sale -$4.48M -10.6K -12.52% $422.27* 74.2K Aug 2, 2021 Wood Revocable Trust F2, F8
transaction ROKU Class A Common Stock Sale -$3.23M -7.63K -10.27% $423.35* 66.6K Aug 2, 2021 Wood Revocable Trust F2, F9
transaction ROKU Class A Common Stock Sale -$2.09M -4.92K -7.39% $424.29* 61.7K Aug 2, 2021 Wood Revocable Trust F2, F10
transaction ROKU Class A Common Stock Sale -$1.96M -4.6K -7.46% $425.46* 57.1K Aug 2, 2021 Wood Revocable Trust F2, F11
transaction ROKU Class A Common Stock Sale -$2.59M -6.08K -10.65% $426.52* 51K Aug 2, 2021 Wood Revocable Trust F2, F12
transaction ROKU Class A Common Stock Sale -$4.5M -10.5K -20.66% $427.41* 40.5K Aug 2, 2021 Wood Revocable Trust F2, F13
transaction ROKU Class A Common Stock Sale -$2.81M -6.55K -16.2% $428.46* 33.9K Aug 2, 2021 Wood Revocable Trust F2, F14
transaction ROKU Class A Common Stock Sale -$2.21M -5.16K -15.21% $429.45* 28.8K Aug 2, 2021 Wood Revocable Trust F2, F15
transaction ROKU Class A Common Stock Sale -$1.57M -3.65K -12.7% $430.40* 25.1K Aug 2, 2021 Wood Revocable Trust F2, F16
transaction ROKU Class A Common Stock Sale -$43.1K -100 -0.4% $431.13* 25K Aug 2, 2021 Wood Revocable Trust F2
holding ROKU Class A Common Stock 36K Aug 2, 2021 Wood 2020 Irrevocable Trust

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 Class B Common Stock Conversion of derivative security $0 -40K -0.24% $0.00 16.8M Aug 2, 2021 Class A Common Stock 40K $0.00 Wood Revocable Trust F1
transaction ROKU Employee Stock Option (Right to Buy) Options Exercise -$124K -45K -17.42% $2.76* 213K Aug 2, 2021 Class B Common Stock 45K $2.76 Direct F17
transaction ROKU Class B Common Stock Options Exercise $124K +45K $2.76* 45K Aug 2, 2021 Class A Common Stock 45K $2.76 Direct F1
transaction ROKU Class B Common Stock Conversion of derivative security -$124K -45K -100% $2.76* 0 Aug 2, 2021 Class A Common Stock 45K $2.76 Direct F1
transaction ROKU Employee Stock Option (right to buy) Award $0 +138 $0.00 138 Aug 2, 2021 Class A Common Stock 138 $421.37 Direct F17, F18
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 Shares sold pursuant to a Rule 10b5-1 Sales Plan.
F3 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $415.85 to $416.58 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $417.28 to $417.93 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $418.76 to $419.75 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F6 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $419.81 to $420.80 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F7 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $420.84 to $421.81 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F8 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $421.87 to $422.84 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F9 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $422.88 to $423.85 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F10 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $423.89 to $424.77 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F11 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $424.93 to $425.90 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F12 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $425.95 to $426.94 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F13 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $426.97 to $427.94 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F14 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $427.98 to $428.97 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F15 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $428.98 to $429.94 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F16 The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $429.98 to $430.77 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F17 This stock option is fully vested.
F18 This stock option was awarded to the Reporting Person by the Issuer's Compensation Committee of the 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 $20,000.00.