Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ROKU, INC
Report date March 29, 2019 · Filed April 02, 2019
Section 16 reporting ended · disclosed 2018-04-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-03-29 transaction · row 9
9 source rows · reconciled sequenceRow 1 · 2019-03-29 · Conversion · Acquired 2,605 · Balance 2,605 Row 2 · 2019-03-29 · Sale · Disposed 2,605 · Balance 0 F1: Shares sold pursuant to Mr. Smith's 10b5-1 plan. F2: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.76 to $64.75 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 3 · 2019-03-29 · Conversion · Acquired 2,289 · Balance 2,289 Row 4 · 2019-03-29 · Sale · Disposed 2,289 · Balance 0 F1: Shares sold pursuant to Mr. Smith's 10b5-1 plan. F2: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.76 to $64.75 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 5 · 2019-03-29 · Conversion · Acquired 315 · Balance 315 Row 6 · 2019-03-29 · Sale · Disposed 315 · Balance 0 F1: Shares sold pursuant to Mr. Smith's 10b5-1 plan. F2: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.76 to $64.75 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 7 · 2019-03-29 · Conversion · Acquired 11,111 · Balance 11,111 Row 8 · 2019-03-29 · Sale · Disposed 10,611 · Balance 500 F1: Shares sold pursuant to Mr. Smith's 10b5-1 plan. F2: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.76 to $64.75 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 9 · 2019-03-29 · Sale · Disposed 500 · Balance 0 F1: Shares sold pursuant to Mr. Smith's 10b5-1 plan. F3: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.78 to $65.00 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. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2025-03-22 | Direct | 0 |
Reported balance
After 2019-03-29 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-03-29 · Exercise / conversion · Disposed 2,605 · Balance 0 F4: Granted March 23, 2015, vests monthly over 4 years. Fully vested as of 3/23/2019. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 32,039 |
Reported balance
After 2019-03-29 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2019-03-29 · Exercise / conversion · Disposed 2,289 · Balance 32,039 F6: Granted November 8, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 4,420 |
Reported balance
After 2019-03-29 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2019-03-29 · Exercise / conversion · Disposed 315 · Balance 4,420 F7: Granted December 20, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-11-07 | Direct | 66,667 |
Reported balance
After 2019-03-29 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2019-03-29 · Exercise / conversion · Disposed 11,111 · Balance 66,667 F8: Granted November 8, 2016, vests monthly over 1 year from vest base date 9/2/18. Fully vested as of 9/2/2019. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2025-03-22 | Direct | 2,605 |
Reported balance
After 2019-03-29 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2019-03-29 · Exercise / conversion · Acquired 2,605 · Balance 2,605 F5: 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. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2025-03-22 | Direct | 0 |
Reported balance
After 2019-03-29 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2019-03-29 · Conversion · Disposed 2,605 · Balance 0 F5: 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. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 2,289 |
Reported balance
After 2019-03-29 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2019-03-29 · Exercise / conversion · Acquired 2,289 · Balance 2,289 F5: 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. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 0 |
Reported balance
After 2019-03-29 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2019-03-29 · Conversion · Disposed 2,289 · Balance 0 F5: 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. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 315 |
Reported balance
After 2019-03-29 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2019-03-29 · Exercise / conversion · Acquired 315 · Balance 315 F5: 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. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-05-16 | Direct | 0 |
Reported balance
After 2019-03-29 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2019-03-29 · Conversion · Disposed 315 · Balance 0 F5: 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. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-11-07 | Direct | 11,111 |
Reported balance
After 2019-03-29 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2019-03-29 · Exercise / conversion · Acquired 11,111 · Balance 11,111 F5: 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. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $5.64 · Expires 2026-11-07 | Direct | 0 |
Reported balance
After 2019-03-29 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2019-03-29 · Conversion · Disposed 11,111 · Balance 0 F5: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares sold pursuant to Mr. Smith's 10b5-1 plan.
F2: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.76 to $64.75 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F3: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.78 to $65.00 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4: Granted March 23, 2015, vests monthly over 4 years. Fully vested as of 3/23/2019.
F5: 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.
F6: Granted November 8, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020.
F7: Granted December 20, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020.
F8: Granted November 8, 2016, vests monthly over 1 year from vest base date 9/2/18. Fully vested as of 9/2/2019.
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 |
|---|---|---|---|---|---|---|
| May 25, 2018 Filed May 30, 2018 21:47 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 60,679 | $5.64 Strike: $5.64 | $342,229.56 |
DisclosureSEC source: 0001716837-18-000037 · edgar.xml · derivative · entry 6 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,679 Underlying: Class A Common Stock · 60,679 shares Expires 2025-03-23 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. F4 · 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 5) F5 · shares: (footnote 4 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. 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. 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 5) F5 · derivative.exercise_date: (footnote 4 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 |
| May 25, 2018 Filed May 30, 2018 21:47 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 26,593 | $5.64 Strike: $5.64 | $149,984.52 |
DisclosureSEC source: 0001716837-18-000037 · edgar.xml · derivative · entry 5 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,593 Underlying: Class A Common Stock · 26,593 shares Expires 2026-05-16 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 · 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 5) F5 · shares: (footnote 4 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. 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. 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 5) F5 · derivative.exercise_date: (footnote 4 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 |
| May 25, 2018 Filed May 30, 2018 21:47 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 60,679 | $5.64 Strike: $5.64 | $342,229.56 |
DisclosureSEC source: 0001716837-18-000037 · edgar.xml · derivative · entry 4 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,548 Underlying: Class B Common Stock · 60,679 shares Expires 2025-03-23 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. F1 · derivative.exercise_date: Granted March 23, 2015; 1/48 of the Option vests in equal monthly installments from 3/23/15. Read SEC document |
| May 25, 2018 Filed May 30, 2018 21:47 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 26,593 | $5.64 Strike: $5.64 | $149,984.52 |
DisclosureSEC source: 0001716837-18-000037 · edgar.xml · derivative · entry 3 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,255 Underlying: Class B Common Stock · 26,593 shares Expires 2026-05-16 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 November 8, 2016; 1/48 of the Option vests in equal monthly installments from 5/17/16 vest commencement date. Read SEC document |
| May 25, 2018 Filed May 30, 2018 21:47 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 87,272 | $38.27 | $3,339,785.99 |
DisclosureSEC source: 0001716837-18-000037 · edgar.xml · nonDerivative · entry 2 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017. Read SEC document |
| May 25, 2018 Filed May 30, 2018 21:47 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 87,272 | $5.64 | $492,214.08 |
DisclosureSEC source: 0001716837-18-000037 · edgar.xml · nonDerivative · entry 1 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,272 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: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017. Read SEC document |
| April 25, 2018 Filed Apr 27, 2018 23:43 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 87,272 | $5.64 Strike: $5.64 | $492,214.08 |
DisclosureSEC source: 0001716837-18-000016 · edgar.xml · derivative · entry 6 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 87,272 shares Expires 2025-03-23 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. F4 · 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 5) F5 · kind: (footnote 4 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. 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. 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 5) F5 · derivative.exercise_date: (footnote 4 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 |
| April 25, 2018 Filed Apr 27, 2018 23:43 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 87,272 | $5.64 Strike: $5.64 | $492,214.08 |
DisclosureSEC source: 0001716837-18-000016 · edgar.xml · derivative · entry 5 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,272 Underlying: Class A Common Stock · 87,272 shares Expires 2025-03-23 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. F4 · 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 5) F5 · shares: (footnote 4 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. 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. 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 5) F5 · derivative.exercise_date: (footnote 4 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 |
| April 25, 2018 Filed Apr 27, 2018 23:43 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 67,500 | $5.64 Strike: $5.64 | $380,700.00 |
DisclosureSEC source: 0001716837-18-000016 · edgar.xml · derivative · entry 4 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,500 Underlying: Class B Common Stock · 67,500 shares Expires 2025-03-23 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. F6 · derivative.exercise_date: Shares granted March 23, 2015; 1/24 of the option vests in equal monthly installments from 9/1/16. Read SEC document |
| April 25, 2018 Filed Apr 27, 2018 23:43 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 19,772 | $5.64 Strike: $5.64 | $111,514.08 |
DisclosureSEC source: 0001716837-18-000016 · edgar.xml · derivative · entry 3 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,227 Underlying: Class B Common Stock · 19,772 shares Expires 2025-03-23 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. F3 · derivative.exercise_date: Shares granted March 23, 2015; 1/48 of the Option vests in equal monthly installments from 3/23/15. Read SEC document |
| April 25, 2018 Filed Apr 27, 2018 23:43 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 87,272 | $31.95 | $2,788,017.49 |
DisclosureSEC source: 0001716837-18-000016 · edgar.xml · nonDerivative · entry 2 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017. F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.42 to $32.41 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities adn 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 |
| April 25, 2018 Filed Apr 27, 2018 23:43 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 87,272 | $5.64 | $492,214.08 |
DisclosureSEC source: 0001716837-18-000016 · edgar.xml · nonDerivative · entry 1 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,272 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: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017. Read SEC document |
| March 27, 2018 Filed Mar 29, 2018 22:04 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 120,000 | $5.64 Strike: $5.64 | $676,800.00 |
DisclosureSEC source: 0001716837-18-000006 · edgar.xml · derivative · entry 5 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 120,000 shares Expires 2025-03-23 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. 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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, 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 in 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. 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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, 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 in footnote 4) F4 · derivative.exercise_date: (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. Read SEC document |
| March 27, 2018 Filed Mar 29, 2018 22:04 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 120,000 | $5.64 Strike: $5.64 | $676,800.00 |
DisclosureSEC source: 0001716837-18-000006 · edgar.xml · derivative · entry 4 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 Underlying: Class A Common Stock · 120,000 shares Expires 2025-03-23 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. 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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, 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 in 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. 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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, 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 in footnote 4) F4 · derivative.exercise_date: (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. Read SEC document |
| March 27, 2018 Filed Mar 29, 2018 22:04 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 120,000 | $5.64 Strike: $5.64 | $676,800.00 |
DisclosureSEC source: 0001716837-18-000006 · edgar.xml · derivative · entry 3 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 Underlying: Class B Common Stock · 120,000 shares Expires 2025-03-23 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. 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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, 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 in 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 23, 2015; 1/48 of the Option vests in equal monthly installments from 3/23/15. Read SEC document |
| March 27, 2018 Filed Mar 29, 2018 22:04 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 120,000 | $33.34 | $4,000,800.00 |
DisclosureSEC source: 0001716837-18-000006 · edgar.xml · nonDerivative · entry 2 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017. F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.75 to $34.62 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 |
| March 27, 2018 Filed Mar 29, 2018 22:04 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 120,000 | $5.64 | $676,800.00 |
DisclosureSEC source: 0001716837-18-000006 · edgar.xml · nonDerivative · entry 1 Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 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. F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 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.