Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROKU, INCROKU · Entity 2524 | GM, Sr. VP Platform Business | June 01, 2022 | June 03, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ROKU, INC
Report date June 01, 2022 · Filed June 03, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 75,784 |
Ending reported balance
After 2022-06-03 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2022-06-01 · Exercise / conversion · Acquired 4,849 · Balance 80,633 Row 2 · 2022-06-02 · Sale · Disposed 1,957 · Balance 78,676 F1: 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. Row 3 · 2022-06-03 · Sale · Disposed 2,892 · Balance 75,784 F2: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan. |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 4,849 |
Reported balance
After 2022-06-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-06-01 · Exercise / conversion · Disposed 4,849 · Balance 4,849 F3: This RSU vests ratably in 4 quarterly installments. The first installment vested on November 15, 2021. |
| Class A Common StockSEC Table I · non-derivative | IndirectRosenberg 2021 Gift Trust | 26,253 |
Reported balance
Holding disclosure · report date 2022-06-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 26,253 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan.
F3: This RSU vests ratably in 4 quarterly installments. The first installment vested on November 15, 2021.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 15, 2019 Filed Nov 19, 2019 23:27 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass A Common Stock | 3,356 | $0.00 | $0.00 |
DisclosureSEC 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 |
| September 06, 2019 Filed Sep 7, 2019 00:03 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 13,000 | $8.82 Strike: $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000164 · edgar.xml · derivative · entry 5 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 0 shares Expires 2027-08-14 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 |
| September 06, 2019 Filed Sep 7, 2019 00:03 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 13,000 | $8.82 Strike: $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000164 · 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: 13,000 Underlying: Class A Common Stock · 13,000 shares Expires 2027-08-14 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 |
| September 06, 2019 Filed Sep 7, 2019 00:03 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 13,000 | $8.82 Strike: $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000164 · edgar.xml · derivative · entry 3 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,666 Underlying: Class B Common Stock · 13,000 shares Expires 2027-08-14 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 option vests in 48 equal monthly installments. The first installment vested on 9/15/2017. Read SEC document |
| September 06, 2019 Filed Sep 7, 2019 00:03 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 13,000 | $165.47 | $2,151,110.00 |
DisclosureSEC source: 0001716837-19-000164 · 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: 28,910 F1 · shares: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan. Read SEC document |
| September 06, 2019 Filed Sep 7, 2019 00:03 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 13,000 | $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000164 · 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: 41,910 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 |
| September 05, 2019 Filed Sep 6, 2019 01:17 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,692 | $167.50 | $283,410.00 |
DisclosureSEC source: 0001716837-19-000162 · 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 |
| September 04, 2019 Filed Sep 6, 2019 01:17 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,664 | $161.47 | $268,678.59 |
DisclosureSEC source: 0001716837-19-000162 · 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 |
| September 03, 2019 Filed Sep 6, 2019 01:17 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionRestricted Stock Unit · Derivative | 3,356 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000162 · 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: 26,848 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 |
| September 03, 2019 Filed Sep 6, 2019 01:17 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass A Common Stock | 3,356 | $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000162 · 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 |
| August 01, 2019 Filed Aug 2, 2019 00:48 UTC | ROKU, INC ROKU · Entity 2524 | GrantRestricted Stock Unit · Derivative | 19,395 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000137 · edgar.xml · derivative · entry 2 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,395 Underlying: Class A Common Stock · 19,395 shares Expires not disclosed F2 · derivative.exercise_date: This Award vests in four equal quarterly installments beginning on the vesting commencement date of 11/15/2021. F2 · derivative.expiration_date: This Award vests in four equal quarterly installments beginning on the vesting commencement date of 11/15/2021. Read SEC document |
| August 01, 2019 Filed Aug 2, 2019 00:48 UTC | ROKU, INC ROKU · Entity 2524 | GrantEmployee Stock Option (Right to Buy) · Derivative | 48,488 | $0.00 Strike: $100.85 | $0.00 |
DisclosureSEC source: 0001716837-19-000137 · edgar.xml · derivative · entry 1 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,488 Underlying: Class A Common Stock · 48,488 shares Expires 2029-07-31 F1 · derivative.exercise_date: This Option vests in 12 equal monthly installments beginning on the vesting commencement date of 11/4/2021 Read SEC document |
| July 02, 2019 Filed Jul 3, 2019 20:41 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 13,000 | $8.82 Strike: $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000126 · edgar.xml · derivative · entry 5 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 0 shares Expires 2027-08-14 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 |
| July 02, 2019 Filed Jul 3, 2019 20:41 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 13,000 | $8.82 Strike: $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000126 · 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: 13,000 Underlying: Class A Common Stock · 13,000 shares Expires 2027-08-14 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 |
| July 02, 2019 Filed Jul 3, 2019 20:41 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 13,000 | $8.82 Strike: $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000126 · edgar.xml · derivative · entry 3 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,666 Underlying: Class B Common Stock · 13,000 shares Expires 2027-08-14 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: Options vest monthly starting on 9/15/17 then 1/48th monthly thereafter over a total of 4 years. Read SEC document |
| July 02, 2019 Filed Jul 3, 2019 20:41 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 13,000 | $88.94 | $1,156,220.00 |
DisclosureSEC source: 0001716837-19-000126 · 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: 3,910 F1 · shares: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan. Read SEC document |
| July 02, 2019 Filed Jul 3, 2019 20:41 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 13,000 | $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000126 · 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: 16,910 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 |
| July 02, 2019 Filed Sep 6, 2019 01:14 UTC Amendment | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 13,000 | $8.82 Strike: $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000161 · edgar.xml · derivative · entry 5 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 0 shares Expires 2027-08-14 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. F4 · 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 |
| July 02, 2019 Filed Sep 6, 2019 01:14 UTC Amendment | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 13,000 | $8.82 Strike: $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000161 · 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: 13,000 Underlying: Class A Common Stock · 13,000 shares Expires 2027-08-14 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. F4 · 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 |
| July 02, 2019 Filed Sep 6, 2019 01:14 UTC Amendment | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 13,000 | $8.82 Strike: $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000161 · edgar.xml · derivative · entry 3 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,666 Underlying: Class B Common Stock · 13,000 shares Expires 2027-08-14 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: Options vest monthly starting on 9/15/17 then 1/48th monthly thereafter over a total of 4 years. Read SEC document |
| July 02, 2019 Filed Sep 6, 2019 01:14 UTC Amendment | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 13,000 | $88.94 | $1,156,220.00 |
DisclosureSEC source: 0001716837-19-000161 · 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: 28,910 F2 · shares: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan. F1 · balance_after: This Amendment is filed to correct the Amount of Securities Beneficially Owned Following Reported Transaction(s) as reported previously on the Form 4 Filed on July 3, 2019 (the "Original Filing"). The Original Filing did not include 25,000 shares that were held by Mr. Rosenberg as a result of an earlier option exercise. Read SEC document |
| July 02, 2019 Filed Sep 6, 2019 01:14 UTC Amendment | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 13,000 | $8.82 | $114,660.00 |
DisclosureSEC source: 0001716837-19-000161 · 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: 41,910 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 · balance_after: This Amendment is filed to correct the Amount of Securities Beneficially Owned Following Reported Transaction(s) as reported previously on the Form 4 Filed on July 3, 2019 (the "Original Filing"). The Original Filing did not include 25,000 shares that were held by Mr. Rosenberg as a result of an earlier option exercise. Read SEC document |
| June 05, 2019 Filed Jun 6, 2019 20:21 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,682 | $97.30 | $163,658.60 |
DisclosureSEC source: 0001716837-19-000103 · 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: 3,910 F2 · shares: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan dated March 6, 2019. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 20:21 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,674 | $91.88 | $153,809.63 |
DisclosureSEC source: 0001716837-19-000103 · 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: 5,592 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 |
| June 03, 2019 Filed Jun 6, 2019 20:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionRestricted Stock Unit · Derivative | 3,356 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000103 · 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: 30,204 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 |
| June 03, 2019 Filed Jun 6, 2019 20:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass A Common Stock | 3,356 | $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000103 · 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: 7,266 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 |
| March 01, 2019 Filed Mar 6, 2019 02:02 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionRestricted Stock Unit · Derivative | 3,356 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000040 · edgar.xml · derivative · entry 3 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,560 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. F2 · derivative.expiration_date: This RSU vests ratably in 12 quarterly installments with the first vest occurring on November 15, 2018. Read SEC document |
| March 01, 2019 Filed Mar 6, 2019 02:02 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,149 | $69.08 | $79,372.92 |
DisclosureSEC source: 0001716837-19-000040 · 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: 3,910 F1 · shares: Represents shares withheld for the payment of applicable income and payroll withholding taxes due at vest. Read SEC document |
| March 01, 2019 Filed Mar 6, 2019 02:02 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass A Common Stock | 3,356 | $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000040 · 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: 5,059 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 |
| January 02, 2019 Filed Jan 4, 2019 23:48 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 25,000 | $8.82 Strike: $8.82 | $220,500.00 |
DisclosureSEC source: 0001716837-19-000007 · edgar.xml · derivative · entry 5 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 25,000 shares Expires 2027-08-14 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 |
| January 02, 2019 Filed Jan 4, 2019 23:48 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 25,000 | $8.82 Strike: $8.82 | $220,500.00 |
DisclosureSEC source: 0001716837-19-000007 · 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: 25,000 Underlying: Class A Common Stock · 25,000 shares Expires 2027-08-14 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 |
| January 02, 2019 Filed Jan 4, 2019 23:48 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 25,000 | $8.82 Strike: $8.82 | $220,500.00 |
DisclosureSEC source: 0001716837-19-000007 · edgar.xml · derivative · entry 3 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,666 Underlying: Class B Common Stock · 25,000 shares Expires 2027-08-14 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: Granted August 15, 2017; 1/48 of the Option vests in equal monthly installments from the grant date. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 23:48 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 25,000 | $29.82 | $745,500.00 |
DisclosureSEC source: 0001716837-19-000007 · 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: 0 F1 · shares: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan dated November 20, 2017. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 23:48 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 25,000 | $8.82 | $220,500.00 |
DisclosureSEC source: 0001716837-19-000007 · 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: 25,000 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 |
| January 02, 2019 Filed Mar 6, 2019 02:01 UTC Amendment | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 25,000 | $29.82 | $745,500.00 |
DisclosureSEC source: 0001716837-19-000039 · 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: 1,703 F1 · shares: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan dated November 20, 2017. F2 · price: This Amendment is filed to correct the Amount of Securities Beneficially Owned Following Reported Trasnactions as reported previously on the Form 4 Filed January 4th 2019 (the "Original Filing"). The Original Filing did not include 1,703 shares the were held by Mr. Rosenberg as a result of an earlier RSU vest. F2 · balance_after: This Amendment is filed to correct the Amount of Securities Beneficially Owned Following Reported Trasnactions as reported previously on the Form 4 Filed January 4th 2019 (the "Original Filing"). The Original Filing did not include 1,703 shares the were held by Mr. Rosenberg as a result of an earlier RSU vest. Read SEC document |
| January 02, 2019 Filed Mar 6, 2019 02:01 UTC Amendment | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 25,000 | $8.82 | $220,500.00 |
DisclosureSEC source: 0001716837-19-000039 · 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: 26,703 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 · balance_after: This Amendment is filed to correct the Amount of Securities Beneficially Owned Following Reported Trasnactions as reported previously on the Form 4 Filed January 4th 2019 (the "Original Filing"). The Original Filing did not include 1,703 shares the were held by Mr. Rosenberg as a result of an earlier RSU vest. Read SEC document |
| November 15, 2018 Filed Nov 19, 2018 22:08 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionRestricted Stock Unit · Derivative | 3,355 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000088 · edgar.xml · derivative · entry 3 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,916 Underlying: Common Stock · 3,355 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. F2 · derivative.exercise_date: This RSU vests in 12 equal quarterly installments with the first vest occurring on November 15, 2018. F2 · derivative.expiration_date: This RSU vests in 12 equal quarterly installments with the first vest occurring on November 15, 2018. Read SEC document |
| November 15, 2018 Filed Nov 19, 2018 22:08 UTC | ROKU, INC ROKU · Entity 2524 | Tax withholdingCoomon Stock | 1,652 | $44.53 | $73,563.56 |
DisclosureSEC source: 0001716837-18-000088 · 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: 1,703 F1 · shares: Represents shares withheld for the payment of applicable income and payroll withholding taxes due at vest. Read SEC document |
| November 15, 2018 Filed Nov 19, 2018 22:08 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionCommon Stock | 3,355 | $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000088 · 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: 3,355 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 02, 2018 Filed Nov 6, 2018 21:47 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 25,000 | $2.76 Strike: $2.76 | $69,000.00 |
DisclosureSEC source: 0001716837-18-000086 · 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: 0 Underlying: Class A Common Stock · 25,000 shares Expires 2023-02-05 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 · kind: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 2) F2 · kind: (footnote 1 continued), (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 · 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (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 02, 2018 Filed Nov 6, 2018 21:47 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 25,000 | $2.76 Strike: $2.76 | $69,000.00 |
DisclosureSEC source: 0001716837-18-000086 · edgar.xml · derivative · entry 3 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Class A Common Stock · 25,000 shares Expires 2023-02-05 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 2) F2 · shares: (footnote 1 continued), (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 · 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (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 02, 2018 Filed Nov 6, 2018 21:47 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 25,000 | $2.76 Strike: $2.76 | $69,000.00 |
DisclosureSEC source: 0001716837-18-000086 · edgar.xml · derivative · entry 2 Rosenberg Scott A. · CIK 0001716857 · GM, Sr. VP Platform Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 25,000 shares Expires 2023-02-05 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 2) F2 · shares: (footnote 1 continued), (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. F3 · derivative.exercise_date: Granted February 5, 2013 and vests 25% on the first anniversary of the vest commencement date, 11/1/12, then vests in equal monthly increments over the next three years. Read SEC document |
| November 02, 2018 Filed Nov 6, 2018 21:47 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 25,000 | $2.76 | $69,000.00 |
DisclosureSEC source: 0001716837-18-000086 · 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: 25,000 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 |
| October 02, 2018 Filed Oct 5, 2018 00:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 24,000 | $5.70 Strike: $5.70 | $136,800.00 |
DisclosureSEC source: 0001716837-18-000080 · edgar.xml · derivative · entry 10 Rosenberg Scott A. · CIK 0001716857 · GM, Sr VP Platform Busines 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 24,000 shares Expires 2027-03-05 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 · kind: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 4) F4 · kind: (footnote 3 continued), (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. F5 · derivative.exercise_date: Granted March 6, 2017; 1/48 of the Option vests in equal monthly installments from 2/14/17 vest base date. Read SEC document |
| October 02, 2018 Filed Oct 5, 2018 00:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 24,000 | $5.70 Strike: $5.70 | $136,800.00 |
DisclosureSEC source: 0001716837-18-000080 · edgar.xml · derivative · entry 9 Rosenberg Scott A. · CIK 0001716857 · GM, Sr VP Platform Busines 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Class A Common Stock · 24,000 shares Expires 2027-03-05 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 · 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 4) F4 · shares: (footnote 3 continued), (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. F5 · derivative.exercise_date: Granted March 6, 2017; 1/48 of the Option vests in equal monthly installments from 2/14/17 vest base date. Read SEC document |
| October 02, 2018 Filed Oct 5, 2018 00:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 24,000 | $5.70 Strike: $5.70 | $136,800.00 |
DisclosureSEC source: 0001716837-18-000080 · edgar.xml · derivative · entry 8 Rosenberg Scott A. · CIK 0001716857 · GM, Sr VP Platform Busines 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,789 Underlying: Class B Common Stock · 24,000 shares Expires 2027-03-05 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 · 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 4) F4 · shares: (footnote 3 continued), (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. F5 · derivative.exercise_date: Granted March 6, 2017; 1/48 of the Option vests in equal monthly installments from 2/14/17 vest base date. Read SEC document |
| October 02, 2018 Filed Oct 5, 2018 00:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-18-000080 · edgar.xml · derivative · entry 7 Rosenberg Scott A. · CIK 0001716857 · GM, Sr VP Platform Busines 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 1,000 shares Expires 2026-11-14 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 · kind: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 4) F4 · kind: (footnote 3 continued), (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 · derivative.exercise_date: Granted November 15, 2016; 1/48 of the Option vests in equal monthly installments from grant date. Read SEC document |
| October 02, 2018 Filed Oct 5, 2018 00:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-18-000080 · edgar.xml · derivative · entry 6 Rosenberg Scott A. · CIK 0001716857 · GM, Sr VP Platform Busines 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Class A Common Stock · 1,000 shares Expires 2026-11-14 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 · 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 4) F4 · shares: (footnote 3 continued), (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 · derivative.exercise_date: Granted November 15, 2016; 1/48 of the Option vests in equal monthly installments from grant date. Read SEC document |
| October 02, 2018 Filed Oct 5, 2018 00:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,000 | $5.64 Strike: $5.64 | $5,640.00 |
DisclosureSEC source: 0001716837-18-000080 · edgar.xml · derivative · entry 5 Rosenberg Scott A. · CIK 0001716857 · GM, Sr VP Platform Busines 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,520 Underlying: Class B Common Stock · 1,000 shares Expires 2026-11-14 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 · 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 4) F4 · shares: (footnote 3 continued), (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 · derivative.exercise_date: Granted November 15, 2016; 1/48 of the Option vests in equal monthly installments from grant date. Read SEC document |
| October 02, 2018 Filed Oct 5, 2018 00:21 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 24,000 | $75.19 | $1,804,560.00 |
DisclosureSEC source: 0001716837-18-000080 · edgar.xml · nonDerivative · entry 4 Rosenberg Scott A. · CIK 0001716857 · GM, Sr VP Platform Busines 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan dated November 21, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.