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Nasdaq · USD

ROKU

ROKU, INC

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Tapewire entity
2524
SEC CIK
0001428439
Parsed reports
726

Last 12 months

Inside the activity.

0 purchase rows · 180 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025021
Dec 2025011
Jan 2026012
Feb 202609
Mar 2026021
Apr 2026014
May 2026023
Jun 2026024
Jul 202609
Aug 202609
Sep 2026020
Oct 202607

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 25, 2019 Filed Dec 5, 2019 00:36 UTC
Wood Anthony J.Director · CEO and Chairman BOD · 10% owner
GiftClass A Common Stock 150,000 $0.00 $0.00
Disclosure

SEC source: 0001716837-19-000203 · edgar.xml · nonDerivative · entry 2

Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Wood Revocable Trust

Disclosed balance after: 36,592

Read SEC document
November 25, 2019 Filed Dec 5, 2019 00:36 UTC
Wood Anthony J.Director · CEO and Chairman BOD · 10% owner
ConversionClass A Common Stock 150,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001716837-19-000203 · edgar.xml · nonDerivative · entry 1

Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Wood Revocable Trust

Disclosed balance after: 186,592

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

F1 · price: 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.

Read SEC document
November 19, 2019 Filed Nov 19, 2019 23:25 UTC
Ozgen MustafaSVP and GM of Account Acquisit
SaleClass A Common Stock 4,974 $153.45 $763,260.30
Disclosure

SEC source: 0001716837-19-000198 · edgar.xml · nonDerivative · entry 3

Ozgen Mustafa · CIK 0001767033 · SVP and GM of Account Acquisit

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · shares: Shares sold pursuant to Mr. Ozgen's 10b5-1 plan.

Read SEC document
November 19, 2019 Filed Nov 19, 2019 23:27 UTC
Rosenberg Scott A.GM, Sr. VP Platform Business
SaleClass A Common Stock 1,692 $153.45 $259,637.40
Disclosure

SEC source: 0001716837-19-000199 · edgar.xml · nonDerivative · entry 3

Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,910

F2 · shares: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:54 UTC ConversionClass B Common Stock · Derivative 95,789 $5.64 Strike: $5.64 $540,249.96
Disclosure

SEC source: 0001716837-19-000194 · edgar.xml · derivative · entry 8

Louden Steve · CIK 0001716792 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 95,789 shares

Expires 2025-07-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: 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.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:54 UTC Exercise / conversionClass B Common Stock · Derivative 95,789 $5.64 Strike: $5.64 $540,249.96
Disclosure

SEC source: 0001716837-19-000194 · edgar.xml · derivative · entry 7

Louden Steve · CIK 0001716792 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,789

Underlying: Class A Common Stock · 95,789 shares

Expires 2025-07-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: 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.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:54 UTC Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 95,789 $5.64 Strike: $5.64 $540,249.96
Disclosure

SEC source: 0001716837-19-000194 · edgar.xml · derivative · entry 6

Louden Steve · CIK 0001716792 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 95,789 shares

Expires 2025-07-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: This stock option is fully vested.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:54 UTC SaleClass A Common Stock 35,411 $157.34 $5,571,389.69
Disclosure

SEC source: 0001716837-19-000194 · edgar.xml · nonDerivative · entry 5

Louden Steve · CIK 0001716792 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Shares sold pursuant to Mr. Louden's 10b5-1 plan.

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $156.63 to $157.58 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.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:54 UTC SaleClass A Common Stock 23,021 $156.11 $3,593,803.71
Disclosure

SEC source: 0001716837-19-000194 · edgar.xml · nonDerivative · entry 4

Louden Steve · CIK 0001716792 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,411

F1 · shares: Shares sold pursuant to Mr. Louden's 10b5-1 plan.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $155.63 to $156.62 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.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:54 UTC SaleClass A Common Stock 15,037 $154.98 $2,330,408.70
Disclosure

SEC source: 0001716837-19-000194 · edgar.xml · nonDerivative · entry 3

Louden Steve · CIK 0001716792 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,432

F1 · shares: Shares sold pursuant to Mr. Louden's 10b5-1 plan.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $154.61 to $155.51 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.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:54 UTC SaleClass A Common Stock 22,320 $154.26 $3,443,147.93
Disclosure

SEC source: 0001716837-19-000194 · edgar.xml · nonDerivative · entry 2

Louden Steve · CIK 0001716792 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,469

F1 · shares: Shares sold pursuant to Mr. Louden's 10b5-1 plan.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $153.60 to $154.56 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.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:54 UTC ConversionClass A Common Stock 95,789 $5.64 $540,249.96
Disclosure

SEC source: 0001716837-19-000194 · edgar.xml · nonDerivative · entry 1

Louden Steve · CIK 0001716792 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,789

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:55 UTC ConversionClass B Common Stock · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000195 · edgar.xml · derivative · entry 5

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:55 UTC Exercise / conversionClass B Common Stock · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000195 · edgar.xml · derivative · entry 4

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Class A Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:55 UTC Exercise / conversionStock Option (right to buy) · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000195 · edgar.xml · derivative · entry 3

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,200

Underlying: Class B Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This stock option is fully vested.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:55 UTC SaleClass A Common Stock 5,000 $160.00 $800,000.00
Disclosure

SEC source: 0001716837-19-000195 · edgar.xml · nonDerivative · entry 2

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,222

F1 · shares: Shares sold pursuant to Mr. Henricks's 10b5-1 plan.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 01:55 UTC ConversionClass A Common Stock 5,000 $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000195 · edgar.xml · nonDerivative · entry 1

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,222

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 23:25 UTC
Ozgen MustafaSVP and GM of Account Acquisit
SaleClass A Common Stock 5,015 $159.55 $800,120.68
Disclosure

SEC source: 0001716837-19-000198 · edgar.xml · nonDerivative · entry 2

Ozgen Mustafa · CIK 0001767033 · SVP and GM of Account Acquisit

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,974

F1 · shares: These shares were sold by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award.

Read SEC document
November 18, 2019 Filed Nov 19, 2019 23:27 UTC
Rosenberg Scott A.GM, Sr. VP Platform Business
SaleClass A Common Stock 1,664 $159.55 $265,483.71
Disclosure

SEC source: 0001716837-19-000199 · edgar.xml · nonDerivative · entry 2

Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,602

F1 · shares: These shares were sold by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award.

Read SEC document
November 15, 2019 Filed Nov 19, 2019 23:25 UTC
Ozgen MustafaSVP and GM of Account Acquisit
Exercise / conversionRestricted Stock Unit · Derivative 9,989 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001716837-19-000198 · edgar.xml · derivative · entry 4

Ozgen Mustafa · CIK 0001767033 · SVP and GM of Account Acquisit

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,860

Underlying: Class A Common Stock · 9,989 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.expiration_date: This RSU vests ratably in 16 quarterly installments with the first vest occurring on June 1, 2019.

Read SEC document
November 15, 2019 Filed Nov 19, 2019 23:25 UTC
Ozgen MustafaSVP and GM of Account Acquisit
Exercise / conversionClass A Common Stock 9,989 $0.00 $0.00
Disclosure

SEC source: 0001716837-19-000198 · edgar.xml · nonDerivative · entry 1

Ozgen Mustafa · CIK 0001767033 · SVP and GM of Account Acquisit

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,989

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 15, 2019 Filed Nov 19, 2019 23:27 UTC
Rosenberg Scott A.GM, Sr. VP Platform Business
Exercise / conversionRestricted Stock Unit · Derivative 3,356 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001716837-19-000199 · edgar.xml · derivative · entry 4

Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,492

Underlying: Class A Common Stock · 3,356 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.expiration_date: This RSU vests ratably in 12 quarterly installments with the first vest occurring on November 15, 2018.

Read SEC document
November 15, 2019 Filed Nov 19, 2019 23:27 UTC
Rosenberg Scott A.GM, Sr. VP Platform Business
Exercise / conversionClass A Common Stock 3,356 $0.00 $0.00
Disclosure

SEC source: 0001716837-19-000199 · edgar.xml · nonDerivative · entry 1

Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,266

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 14, 2019 Filed Nov 14, 2019 23:56 UTC ConversionClass B Common Stock · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · derivative · entry 15

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

Read SEC document
November 14, 2019 Filed Nov 14, 2019 23:56 UTC Exercise / conversionClass B Common Stock · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · derivative · entry 14

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Class A Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

Read SEC document
November 14, 2019 Filed Nov 14, 2019 23:56 UTC Exercise / conversionStock Option (right to buy) · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · derivative · entry 13

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,200

Underlying: Class B Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This stock option is fully vested.

Read SEC document
November 14, 2019 Filed Nov 14, 2019 23:56 UTC SaleClass A Common Stock 5,000 $150.00 $750,000.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · nonDerivative · entry 6

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,222

F1 · shares: Shares sold pursuant to Mr. Henricks's 10b5-1 plan.

Read SEC document
November 14, 2019 Filed Nov 14, 2019 23:56 UTC ConversionClass A Common Stock 5,000 $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · nonDerivative · entry 5

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,222

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 13, 2019 Filed Nov 14, 2019 23:56 UTC ConversionClass B Common Stock · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · derivative · entry 12

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

Read SEC document
November 13, 2019 Filed Nov 14, 2019 23:56 UTC Exercise / conversionClass B Common Stock · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · derivative · entry 11

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Class A Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

Read SEC document
November 13, 2019 Filed Nov 14, 2019 23:56 UTC Exercise / conversionStock Option (right to buy) · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · derivative · entry 10

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,200

Underlying: Class B Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This stock option is fully vested.

Read SEC document
November 13, 2019 Filed Nov 14, 2019 23:56 UTC SaleClass A Common Stock 5,000 $140.00 $700,000.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · nonDerivative · entry 4

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,222

F1 · shares: Shares sold pursuant to Mr. Henricks's 10b5-1 plan.

Read SEC document
November 13, 2019 Filed Nov 14, 2019 23:56 UTC ConversionClass A Common Stock 5,000 $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · nonDerivative · entry 3

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,222

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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November 12, 2019 Filed Nov 14, 2019 23:56 UTC ConversionClass B Common Stock · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · derivative · entry 9

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

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November 12, 2019 Filed Nov 14, 2019 23:56 UTC Exercise / conversionClass B Common Stock · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · derivative · entry 8

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Class A Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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.

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November 12, 2019 Filed Nov 14, 2019 23:56 UTC Exercise / conversionStock Option (right to buy) · Derivative 5,000 $2.28 Strike: $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · derivative · entry 7

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,200

Underlying: Class B Common Stock · 5,000 shares

Expires 2022-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This stock option is fully vested.

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November 12, 2019 Filed Nov 14, 2019 23:56 UTC SaleClass A Common Stock 5,000 $130.08 $650,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · nonDerivative · entry 2

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,222

F1 · shares: Shares sold pursuant to Mr. Henricks's 10b5-1 plan.

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November 12, 2019 Filed Nov 14, 2019 23:56 UTC ConversionClass A Common Stock 5,000 $2.28 $11,400.00
Disclosure

SEC source: 0001716837-19-000190 · edgar.xml · nonDerivative · entry 1

Henricks Alan S. · CIK 0001513957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,222

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
ConversionClass B Common Stock · Derivative 9,000 $5.64 Strike: $5.64 $50,760.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 20

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,808

Underlying: Class A Common Stock · 9,000 shares

Expires 2025-03-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: 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.

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November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
Exercise / conversionClass B Common Stock · Derivative 9,000 $5.64 Strike: $5.64 $50,760.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 19

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,808

Underlying: Class A Common Stock · 9,000 shares

Expires 2025-03-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: 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.

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November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 9,000 $5.64 Strike: $5.64 $50,760.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 18

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,436

Underlying: Class B Common Stock · 9,000 shares

Expires 2025-03-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_date: This stock option is fully vested.

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November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
ConversionClass B Common Stock · Derivative 4,000 $2.94 Strike: $2.94 $11,760.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 17

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,808

Underlying: Class A Common Stock · 4,000 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: 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.

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November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
Exercise / conversionClass B Common Stock · Derivative 4,000 $2.94 Strike: $2.94 $11,760.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 16

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,808

Underlying: Class A Common Stock · 4,000 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: 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.

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November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 4,000 $2.94 Strike: $2.94 $11,760.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 15

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,040

Underlying: Class B Common Stock · 4,000 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_date: This stock option is fully vested.

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November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
ConversionClass B Common Stock · Derivative 3,000 $2.94 Strike: $2.94 $8,820.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 14

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,808

Underlying: Class A Common Stock · 3,000 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: 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.

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November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
Exercise / conversionClass B Common Stock · Derivative 3,000 $2.94 Strike: $2.94 $8,820.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 13

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,808

Underlying: Class A Common Stock · 3,000 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: 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.

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November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 3,000 $2.94 Strike: $2.94 $8,820.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 12

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,216

Underlying: Class B Common Stock · 3,000 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_date: This stock option is fully vested.

Read SEC document
November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
ConversionClass B Common Stock · Derivative 6,000 $5.64 Strike: $5.64 $33,840.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 11

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,808

Underlying: Class A Common Stock · 6,000 shares

Expires 2026-11-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: 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.

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November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
Exercise / conversionClass B Common Stock · Derivative 6,000 $5.64 Strike: $5.64 $33,840.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 10

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,808

Underlying: Class A Common Stock · 6,000 shares

Expires 2026-11-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: 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.

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November 12, 2019 Filed Nov 14, 2019 23:57 UTC
KAY STEPHEN HSVP General Counsel, Secretary
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 6,000 $5.64 Strike: $5.64 $33,840.00
Disclosure

SEC source: 0001716837-19-000191 · edgar.xml · derivative · entry 9

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,603

Underlying: Class B Common Stock · 6,000 shares

Expires 2026-11-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_date: This stock option is fully vested.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.