Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROKU, INCROKU · Entity 2524 | Director · CEO and Chairman BOD · 10% owner | September 14, 2026 | September 16, 2026 |
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 September 14, 2026 · Filed September 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectThe Anthony J. Wood 2025 Annuity Trust V-B | 57,336 |
Reported balance
After 2026-09-14 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-09-14 · Gift · Disposed 24,109 · Balance 57,336 F1: Reflects an annuity distribution in accordance with the terms of The Anthony J. Wood 2025 Annuity Trust V-B. |
| Class A Common StockSEC Table I · non-derivative | IndirectWood 2017 Revocable Trust | 44,290 |
Reported balance
After 2026-09-14 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2026-09-14 · Gift · Acquired 24,109 · Balance 44,290 F1: Reflects an annuity distribution in accordance with the terms of The Anthony J. Wood 2025 Annuity Trust V-B. |
| Class A Common StockSEC Table I · non-derivative | Direct | 39,626 |
Reported balance
Holding disclosure · report date 2026-09-14 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 39,626 |
| Class A Common StockSEC Table I · non-derivative | IndirectWood 2020 Nonexempt Irrevocable Trust | 92,276 |
Reported balance
Holding disclosure · report date 2026-09-14 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 92,276 |
| Class A Common StockSEC Table I · non-derivative | IndirectWood 2020 Irrevocable Trust | 42,500 |
Reported balance
Holding disclosure · report date 2026-09-14 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 42,500 |
| Class A Common StockSEC Table I · non-derivative | IndirectThe Anthony J. Wood 2025 Annuity Trust V | 82,034 |
Reported balance
Holding disclosure · report date 2026-09-14 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 82,034 |
| Class A Common StockSEC Table I · non-derivative | IndirectThe Anthony J. Wood 2026 Annuity Trust V | 72,699 |
Reported balance
Holding disclosure · report date 2026-09-14 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 72,699 |
| Class A Common StockSEC Table I · non-derivative | IndirectWood Gifts Trust | 20,612 |
Reported balance
Holding disclosure · report date 2026-09-14 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 20,612 |
| Class A Common StockSEC Table I · non-derivative | IndirectThe Anthony J. Wood 2026 Annuity Trust V-B | 169,006 |
Reported balance
Holding disclosure · report date 2026-09-14 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 169,006 |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects an annuity distribution in accordance with the terms of The Anthony J. Wood 2025 Annuity Trust V-B.
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 |
|---|---|---|---|---|---|---|
| January 02, 2019 Filed Jan 4, 2019 23:47 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 12,305 | $32.16 | $395,769.41 |
DisclosureSEC source: 0001716837-19-000006 · edgar.xml · nonDerivative · entry 4 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,697 F2 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.39 to $32.38 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 |
| January 02, 2019 Filed Jan 4, 2019 23:47 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 9,490 | $31.01 | $294,241.25 |
DisclosureSEC source: 0001716837-19-000006 · edgar.xml · nonDerivative · entry 3 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,002 F2 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.34 to $31.32 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 |
| January 02, 2019 Filed Jan 4, 2019 23:47 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 8,100 | $29.89 | $242,082.27 |
DisclosureSEC source: 0001716837-19-000006 · edgar.xml · nonDerivative · entry 2 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,492 F2 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.34 to $30.33 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 |
| January 02, 2019 Filed Jan 4, 2019 23:47 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 70,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001716837-19-000006 · edgar.xml · nonDerivative · entry 1 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,592 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| January 02, 2019 Filed Feb 6, 2019 00:00 UTC Amendment | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 5,105 | $32.52 | $165,996.22 |
DisclosureSEC source: 0001716837-19-000014 · edgar.xml · nonDerivative · entry 5 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 36,592 F3 · shares: Shares sold pursuant to a 10b5-1 Sales Plan. F7 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.39 to $32.68 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. F1 · ownership.nature: This Amendment is filed to correct the characterization of the Ownership Form and Nature of Indirect Beneficial Ownership of the shares as reported previously on the Form 4 filed on January 4, 2019 (the "Original Filing"). The Original Filing erroneously reported that the 35,000 shares sold and the remaining 36,592 shares were held directly by Mr. Wood rather than indirectly through the Wood Revocable Trust. Read SEC document |
| January 02, 2019 Filed Feb 6, 2019 00:00 UTC Amendment | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 12,305 | $32.16 | $395,769.41 |
DisclosureSEC source: 0001716837-19-000014 · edgar.xml · nonDerivative · entry 4 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 41,697 F3 · shares: Shares sold pursuant to a 10b5-1 Sales Plan. F6 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.39 to $32.38 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. F1 · ownership.nature: This Amendment is filed to correct the characterization of the Ownership Form and Nature of Indirect Beneficial Ownership of the shares as reported previously on the Form 4 filed on January 4, 2019 (the "Original Filing"). The Original Filing erroneously reported that the 35,000 shares sold and the remaining 36,592 shares were held directly by Mr. Wood rather than indirectly through the Wood Revocable Trust. Read SEC document |
| January 02, 2019 Filed Feb 6, 2019 00:00 UTC Amendment | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 9,490 | $31.01 | $294,241.25 |
DisclosureSEC source: 0001716837-19-000014 · edgar.xml · nonDerivative · entry 3 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 54,002 F3 · shares: Shares sold pursuant to a 10b5-1 Sales Plan. F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.34 to $31.32 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. F1 · ownership.nature: This Amendment is filed to correct the characterization of the Ownership Form and Nature of Indirect Beneficial Ownership of the shares as reported previously on the Form 4 filed on January 4, 2019 (the "Original Filing"). The Original Filing erroneously reported that the 35,000 shares sold and the remaining 36,592 shares were held directly by Mr. Wood rather than indirectly through the Wood Revocable Trust. Read SEC document |
| January 02, 2019 Filed Feb 6, 2019 00:00 UTC Amendment | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 8,100 | $29.89 | $242,082.27 |
DisclosureSEC source: 0001716837-19-000014 · edgar.xml · nonDerivative · entry 2 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 63,492 F3 · shares: Shares sold pursuant to a 10b5-1 Sales Plan. F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.34 to $30.33 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. F1 · ownership.nature: This Amendment is filed to correct the characterization of the Ownership Form and Nature of Indirect Beneficial Ownership of the shares as reported previously on the Form 4 filed on January 4, 2019 (the "Original Filing"). The Original Filing erroneously reported that the 35,000 shares sold and the remaining 36,592 shares were held directly by Mr. Wood rather than indirectly through the Wood Revocable Trust. Read SEC document |
| January 02, 2019 Filed Feb 6, 2019 00:00 UTC Amendment | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 70,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001716837-19-000014 · edgar.xml · nonDerivative · entry 1 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 71,592 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F2 · price: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · ownership.nature: This Amendment is filed to correct the characterization of the Ownership Form and Nature of Indirect Beneficial Ownership of the shares as reported previously on the Form 4 filed on January 4, 2019 (the "Original Filing"). The Original Filing erroneously reported that the 35,000 shares sold and the remaining 36,592 shares were held directly by Mr. Wood rather than indirectly through the Wood Revocable Trust. Read SEC document |
| October 16, 2018 Filed Oct 19, 2018 01:26 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 125,000 | $62.21 | $7,776,800.00 |
DisclosureSEC source: 0001716837-18-000082 · edgar.xml · nonDerivative · entry 1 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.26 to $63.91 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 |
| September 19, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 202,299 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 22 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 202,299 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. F14 · shares: Reflects transfer of 202,299 shares of Class B common stock held by Anthony Wood to the Wood Revocable Trust. F2 · 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 3) F3 · derivative.exercise_date: (footnote 2 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.expiration_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 3) F3 · derivative.expiration_date: (footnote 2 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 |
| September 19, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 100,000 | $0.16 Strike: $0.16 | $16,000.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 21 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,299 Underlying: Class A Common Stock · 100,000 shares Expires 2018-11-17 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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 |
| September 19, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 100,000 | $0.16 Strike: $0.16 | $16,000.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 20 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,299 Underlying: Class A Common Stock · 100,000 shares Expires 2018-11-17 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 · 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 3) F3 · shares: (footnote 2 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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 |
| September 19, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.16 Strike: $0.16 | $16,000.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 19 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 100,000 shares Expires 2018-11-17 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 September 19, 2008. 25% of initial grant vested on September 19, 2009 and the remaining 3/4 vested in equal monthly increments thereafter. The grant was fully vested on September 19, 2012. Read SEC document |
| September 19, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 42,500 | $70.21 | $2,983,925.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 10 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,043 F4 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F11 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.52 to $72.37 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 |
| September 19, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 100,000 | $70.21 | $7,021,480.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 9 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,543 F4 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F11 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.52 to $72.37 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 |
| September 19, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 100,000 | $0.16 | $16,000.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 8 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 266,543 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 19, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 2,549 | $72.16 | $183,933.04 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 7 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,543 F7 · shares: Additional shares sold to cover taxes, pursuant to Mr. Wood's 10b5-1 plan. F10 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.1589 to $72.37 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 |
| September 19, 2018 Filed Oct 11, 2018 00:11 UTC Amendment | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 2,549 | $0.16 Strike: $0.16 | $407.84 |
DisclosureSEC source: 0001716837-18-000081 · edgar.xml · derivative · entry 2 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 20,474,838 Underlying: Class A Common Stock · 2,549 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. F1 · shares: This Amendment is filed to correct the characterization of certain transactions, including the additional conversion of 2,549 shares of Class B common stock held directly by the reporting person into Class A common stock, which shares were sold as reported in the reporting person's original Form 4 filed on 9/19/2018 (the "Original Filing"). In addition, 1,592 shares of Class A common stock previously reported as being transferred to the Wood Revocable Trust were erroneously included in the shares of Class A common stock directly held by the reporting person. As a result of such additional conversion, the correction described above and following the transactions reported in the Original Filing, the reporting person directly holds 125,000 shares of Class A common stock. F2 · 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 3) F3 · derivative.exercise_date: (footnote 2 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.expiration_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 3) F3 · derivative.expiration_date: (footnote 2 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 · balance_after: As a result of the conversion of the 2,549 shares as described above, the number of shares of Class B common stock held directly by the reporting person was corrected to 199,750. This Amendment also corrects footnote 14 of the Original Filing, as the number of shares of Class B common stock transferred to the Wood Revocable Trust consisted of these 199,750 shares. The total number of Class B common stock held indirectly by the reporting person through the Wood Revocable Trust following these transactions reported in the Original Filing was corrected to 20,474,838. Read SEC document |
| September 19, 2018 Filed Oct 11, 2018 00:11 UTC Amendment | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 2,549 | $0.16 | $407.84 |
DisclosureSEC source: 0001716837-18-000081 · edgar.xml · nonDerivative · entry 1 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 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: This Amendment is filed to correct the characterization of certain transactions, including the additional conversion of 2,549 shares of Class B common stock held directly by the reporting person into Class A common stock, which shares were sold as reported in the reporting person's original Form 4 filed on 9/19/2018 (the "Original Filing"). In addition, 1,592 shares of Class A common stock previously reported as being transferred to the Wood Revocable Trust were erroneously included in the shares of Class A common stock directly held by the reporting person. As a result of such additional conversion, the correction described above and following the transactions reported in the Original Filing, the reporting person directly holds 125,000 shares of Class A common stock. Read SEC document |
| September 19, 2018 Filed Feb 14, 2019 23:55 UTC | ROKU, INC ROKU · Entity 2524 | GiftClass B Common Stock · Derivative | 199,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000018 · edgar.xml · derivative · entry 6 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 20,474,838 Underlying: Class A Common Stock · 199,750 shares Expires not disclosed F1 · kind: Represents shares of Class B Common Stock that the Reporting Person donated as a gift to the Wood Revocable Trust, of which Mr. Wood is a trustee. F2 · 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. F2 · derivative.expiration_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. F3 · balance_after: Shares held of record by Anthony J. Wood, Trustee of the Wood Revocable Trust. Read SEC document |
| September 19, 2018 Filed Feb 14, 2019 23:55 UTC | ROKU, INC ROKU · Entity 2524 | GiftClass B Common Stock · Derivative | 199,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-19-000018 · edgar.xml · derivative · entry 5 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 199,750 shares Expires not disclosed F1 · kind: Represents shares of Class B Common Stock that the Reporting Person donated as a gift to the Wood Revocable Trust, of which Mr. Wood is a trustee. F2 · 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. F2 · derivative.expiration_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 18, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 72,000 | $0.16 Strike: $0.16 | $11,520.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 18 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,299 Underlying: Class A Common Stock · 148,149 shares Expires 2018-11-17 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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 |
| September 18, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 148,149 | $0.16 Strike: $0.16 | $23,703.84 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 17 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,299 Underlying: Class A Common Stock · 148,149 shares Expires 2018-11-17 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 · 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 3) F3 · shares: (footnote 2 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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 |
| September 18, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 148,149 | $0.16 Strike: $0.16 | $23,703.84 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 16 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Class B Common Stock · 148,149 shares Expires 2018-11-17 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 September 19, 2008. 25% of initial grant vested on September 19, 2009 and the remaining 3/4 vested in equal monthly increments thereafter. The grant was fully vested on September 19, 2012. Read SEC document |
| September 18, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 65,000 | $72.45 | $4,709,399.50 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 6 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,092 F4 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F8 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.62 to $74.11 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 |
| September 18, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 72,000 | $72.43 | $5,214,974.40 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 5 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,092 F4 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F6 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.63 to $74.12 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 |
| September 18, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 72,000 | $0.16 | $11,520.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 4 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,092 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 17, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 122,000 | $0.16 Strike: $0.16 | $19,520.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 15 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,150 Underlying: Class A Common Stock · 248,150 shares Expires 2018-11-17 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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 |
| September 17, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 248,150 | $0.16 Strike: $0.16 | $39,704.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 14 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,150 Underlying: Class A Common Stock · 248,150 shares Expires 2018-11-17 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 · 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 3) F3 · shares: (footnote 2 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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 |
| September 17, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 248,150 | $0.16 Strike: $0.16 | $39,704.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 13 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,149 Underlying: Class B Common Stock · 248,150 shares Expires 2018-11-17 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 September 19, 2008. 25% of initial grant vested on September 19, 2009 and the remaining 3/4 vested in equal monthly increments thereafter. The grant was fully vested on September 19, 2012. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 17,500 | $70.05 | $1,225,955.50 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 3 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,092 F4 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F9 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.41 to $70.99 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 |
| September 17, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 122,000 | $70.04 | $8,544,782.40 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 2 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,592 F4 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.35 to $71.11 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 |
| September 17, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 122,000 | $0.16 | $19,520.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 1 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 373,592 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 14, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 525,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · derivative · entry 23 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 20,477,387 Underlying: Class A Common Stock · 525,000 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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.expiration_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 3) F3 · derivative.expiration_date: (footnote 2 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. F13 · balance_after: Includes 202,299 shares of Class B common stock subsequently transferred on 9/19/18 as disclosed below. Read SEC document |
| September 14, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | GiftClass A Common Stock | 525,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 12 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 1,592 F12 · shares: The transaction reported involved a gift by the reporting person of 525,000 shares of Class A common stock to a charitable donor advised fund. Read SEC document |
| September 14, 2018 Filed Sep 19, 2018 23:21 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 525,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000076 · edgar.xml · nonDerivative · entry 11 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 526,592 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 19, 2018 Filed Aug 22, 2018 00:18 UTC | ROKU, INC ROKU · Entity 2524 | GrantStock Option (right to buy) · Derivative | 272,553 | $56.07 Strike: $56.07 | $15,282,046.71 |
DisclosureSEC source: 0001716837-18-000069 · edgar.xml · derivative · entry 1 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,553 Underlying: Class A Common Stock · 272,553 shares Expires not disclosed F1 · derivative.exercise_date: Option vests monthly over one year from vest commencement date 8/13/2021. First vesting occurs on 9/13/2021. F2 · derivative.expiration_date: Option expires on 8/18/2028. Read SEC document |
| August 14, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 125,000 | $56.56 | $7,070,125.00 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · nonDerivative · entry 6 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,592 F4 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F10 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.49 to $58.07 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 |
| August 14, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,486 | $55.88 | $83,043.48 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · nonDerivative · entry 5 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,592 F7 · shares: Additional shares sold to cover taxes, pursuant to Mr. Wood's 10b5-1 plan. F8 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.79 to $56.7899 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 |
| August 13, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 123,957 | $0.16 Strike: $0.00 | $19,833.12 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · derivative · entry 13 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Wood Revocable Trust Disclosed balance after: 20,800,088 Underlying: Class A Common Stock · 123,957 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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.expiration_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 3) F3 · derivative.expiration_date: (footnote 2 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. F9 · balance_after: 247,740 shares transferred from direct ownership to Wood Revocable Trust on June 29, 2018. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 248,149 | $0.16 Strike: $0.16 | $39,703.84 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · derivative · entry 12 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 248,149 shares Expires 2018-11-17 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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 |
| August 13, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 248,149 | $0.16 Strike: $0.16 | $39,703.84 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · derivative · entry 11 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,149 Underlying: Class A Common Stock · 248,149 shares Expires 2018-11-17 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 · 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 3) F3 · shares: (footnote 2 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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 |
| August 13, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 248,149 | $0.16 Strike: $0.16 | $39,703.84 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · derivative · entry 10 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 496,299 Underlying: Class B Common Stock · 248,149 shares Expires 2018-11-17 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 September 19, 2008. 25% of initial grant vested on September 19, 2009 and the remaining 3/4 vested in equal monthly increments thereafter. The grant was fully vested on September 19, 2012. Read SEC document |
| August 13, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 122,000 | $55.95 | $6,825,436.40 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · nonDerivative · entry 4 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 378,078 F4 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F6 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.51 to $58.5299 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 |
| August 13, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 124,192 | $0.16 | $19,870.72 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · nonDerivative · entry 3 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,078 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 10, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 248,150 | $0.16 Strike: $0.16 | $39,704.00 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · derivative · entry 9 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 248,150 shares Expires 2018-11-17 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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 |
| August 10, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 248,150 | $0.16 Strike: $0.16 | $39,704.00 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · derivative · entry 8 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,150 Underlying: Class A Common Stock · 248,150 shares Expires 2018-11-17 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 · 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 3) F3 · shares: (footnote 2 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: 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 3) F3 · derivative.exercise_date: (footnote 2 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. F9 · balance_after: 247,740 shares transferred from direct ownership to Wood Revocable Trust on June 29, 2018. Read SEC document |
| August 10, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 248,150 | $0.16 Strike: $0.16 | $39,704.00 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · derivative · entry 7 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,448 Underlying: Class B Common Stock · 248,150 shares Expires 2018-11-17 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 September 19, 2008. 25% of initial grant vested on September 19, 2009 and the remaining 3/4 vested in equal monthly increments thereafter. The grant was fully vested on September 19, 2012. Read SEC document |
| August 10, 2018 Filed Aug 15, 2018 00:20 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 122,000 | $58.81 | $7,175,027.40 |
DisclosureSEC source: 0001716837-18-000063 · edgar.xml · nonDerivative · entry 2 Wood Anthony J. · CIK 0001716837 · Director · CEO and Chairman BOD · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 375,886 F4 · shares: Shares sold pursuant to Mr. Wood's 10b5-1 plan. F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.29 to $60.64 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.