Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROKU, INCROKU · Entity 2524 | SVP General Counsel, Secretary | June 13, 2024 | June 17, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ROKU, INC
Report date June 13, 2024 · Filed June 17, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 91,905 |
Ending reported balance
After 2024-06-13 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-06-13 · Conversion · Acquired 21,993 · Balance 104,029 F1: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Row 2 · 2024-06-13 · Sale · Disposed 12,124 · Balance 91,905 F2: Shares sold pursuant to Mr. Kay's 10b5-1 plan to satisfy income tax withholding obligations in connection with the exercise of a stock option. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.12 · Expires 2027-05-15 | Direct | 0 |
Reported balance
After 2024-06-13 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-06-13 · Exercise / conversion · Disposed 21,993 · Balance 0 F3: This stock option is fully vested. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $6.12 · Expires 2027-05-15 | Direct | 21,993 |
Reported balance
After 2024-06-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-06-13 · Exercise / conversion · Acquired 21,993 · Balance 21,993 F1: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2024-06-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-06-13 · Conversion · Disposed 21,993 · Balance 0 F1: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock.
F2: Shares sold pursuant to Mr. Kay's 10b5-1 plan to satisfy income tax withholding obligations in connection with the exercise of a stock option.
F3: This stock option is fully vested.
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 |
|---|---|---|---|---|---|---|
| August 19, 2018 Filed Aug 22, 2018 00:17 UTC | ROKU, INC ROKU · Entity 2524 | GrantRestricted Stock Unit · Derivative | 21,091 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001716837-18-000067 · edgar.xml · derivative · entry 2 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,091 Underlying: Class A Common Stock · 21,091 shares Expires not disclosed F2 · derivative.exercise_date: Award vests quarterly over two years with first vest occuring on 3/1/2020. F2 · derivative.expiration_date: Award vests quarterly over two years with first vest occuring on 3/1/2020. Read SEC document |
| August 19, 2018 Filed Aug 22, 2018 00:17 UTC | ROKU, INC ROKU · Entity 2524 | GrantStock Option (right to buy) · Derivative | 52,728 | $56.07 Strike: $56.07 | $2,956,458.96 |
DisclosureSEC source: 0001716837-18-000067 · edgar.xml · derivative · entry 1 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,728 Underlying: Class A Common Stock · 52,728 shares Expires not disclosed F1 · derivative.exercise_date: Option vests monthly over two years from vest commencement date 1/3/2020. First vesting occurs on 2/3/2020. F3 · derivative.expiration_date: Option expires on 8/18/2028. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 21:43 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000058 · edgar.xml · derivative · entry 10 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 6,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · kind: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 21:43 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000058 · edgar.xml · derivative · entry 9 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Class A Common Stock · 6,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 21:43 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000058 · edgar.xml · derivative · entry 8 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,040 Underlying: Class B Common Stock · 6,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F6 · derivative.exercise_date: Option vested 25% as of 12/31/14 then vests 1/36th per month thereafter. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 21:43 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000058 · edgar.xml · derivative · entry 7 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 30,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · kind: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 21:43 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000058 · edgar.xml · derivative · entry 6 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Class A Common Stock · 30,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 21:43 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000058 · edgar.xml · derivative · entry 5 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,216 Underlying: Class B Common Stock · 30,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F4 · derivative.exercise_date: Options were 1/4 vested on 1/2/15 then 1/48th monthly thereafter over a total of 4 years. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 21:43 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 6,000 | $45.39 | $272,340.00 |
DisclosureSEC source: 0001716837-18-000058 · edgar.xml · nonDerivative · entry 4 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.80 to $45.95 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 |
| August 01, 2018 Filed Aug 2, 2018 21:43 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 6,000 | $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000058 · edgar.xml · nonDerivative · entry 3 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,000 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. F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| August 01, 2018 Filed Aug 2, 2018 21:43 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 30,000 | $45.39 | $1,361,700.00 |
DisclosureSEC source: 0001716837-18-000058 · edgar.xml · nonDerivative · entry 2 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.80 to $45.95 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 |
| August 01, 2018 Filed Aug 2, 2018 21:43 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 30,000 | $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000058 · edgar.xml · nonDerivative · entry 1 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 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. F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| July 09, 2018 Filed Jul 11, 2018 20:26 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 10,000 | $2.94 Strike: $2.94 | $29,400.00 |
DisclosureSEC source: 0001716837-18-000052 · edgar.xml · derivative · entry 5 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 10,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · kind: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| July 09, 2018 Filed Jul 11, 2018 20:26 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 10,000 | $2.94 Strike: $2.94 | $29,400.00 |
DisclosureSEC source: 0001716837-18-000052 · edgar.xml · derivative · entry 4 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Class A Common Stock · 10,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| July 09, 2018 Filed Jul 11, 2018 20:26 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 10,000 | $2.94 Strike: $2.94 | $29,400.00 |
DisclosureSEC source: 0001716837-18-000052 · edgar.xml · derivative · entry 3 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,216 Underlying: Class B Common Stock · 10,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F4 · derivative.exercise_date: Options were 25% vested on 1/2/15 then 1/48th monthly thereafter over a total of 4 years. Read SEC document |
| July 09, 2018 Filed Jul 11, 2018 20:26 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 10,000 | $48.00 | $480,000.00 |
DisclosureSEC source: 0001716837-18-000052 · edgar.xml · nonDerivative · entry 2 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| July 09, 2018 Filed Jul 11, 2018 20:26 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 10,000 | $2.94 | $29,400.00 |
DisclosureSEC source: 0001716837-18-000052 · edgar.xml · nonDerivative · entry 1 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 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. F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| July 02, 2018 Filed Jul 4, 2018 00:29 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000051 · edgar.xml · derivative · entry 10 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 6,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · kind: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| July 02, 2018 Filed Jul 4, 2018 00:29 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000051 · edgar.xml · derivative · entry 9 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Class A Common Stock · 6,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| July 02, 2018 Filed Jul 4, 2018 00:29 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000051 · edgar.xml · derivative · entry 8 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,040 Underlying: Class B Common Stock · 6,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F6 · derivative.exercise_date: Option vested 25% as of 12/31/14 then vests 1/36th per month thereafter. Read SEC document |
| July 02, 2018 Filed Jul 4, 2018 00:29 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000051 · edgar.xml · derivative · entry 7 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 30,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · kind: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| July 02, 2018 Filed Jul 4, 2018 00:29 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000051 · edgar.xml · derivative · entry 6 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Class A Common Stock · 30,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| July 02, 2018 Filed Jul 4, 2018 00:29 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000051 · edgar.xml · derivative · entry 5 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,216 Underlying: Class B Common Stock · 30,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F4 · derivative.exercise_date: Options were 1/4 vested on 1/2/15 then 1/48th monthly thereafter over a total of 4 years. Read SEC document |
| July 02, 2018 Filed Jul 4, 2018 00:29 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 6,000 | $42.20 | $253,200.00 |
DisclosureSEC source: 0001716837-18-000051 · edgar.xml · nonDerivative · entry 4 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.72 to $43.29 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 |
| July 02, 2018 Filed Jul 4, 2018 00:29 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 6,000 | $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000051 · edgar.xml · nonDerivative · entry 3 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,000 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. F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| July 02, 2018 Filed Jul 4, 2018 00:29 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 30,000 | $42.20 | $1,266,000.00 |
DisclosureSEC source: 0001716837-18-000051 · edgar.xml · nonDerivative · entry 2 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.72 to $43.29 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 |
| July 02, 2018 Filed Jul 4, 2018 00:29 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 30,000 | $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000051 · edgar.xml · nonDerivative · entry 1 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 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. F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 22 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 6,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · kind: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 21 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Class A Common Stock · 6,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 20 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,040 Underlying: Class B Common Stock · 6,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F4 · derivative.exercise_date: Options were 1/4 vested on 12/31/14 then 1/48th monthly thereafter over a total of 4 years. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 19 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 30,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · kind: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 18 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Class A Common Stock · 30,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 17 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,216 Underlying: Class B Common Stock · 30,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F4 · derivative.exercise_date: Options were 1/4 vested on 12/31/14 then 1/48th monthly thereafter over a total of 4 years. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 6,000 | $36.50 | $219,000.00 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · nonDerivative · entry 7 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 6,000 | $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · nonDerivative · entry 6 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 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. F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 30,000 | $36.65 | $1,099,500.00 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · nonDerivative · entry 5 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 30,000 | $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · nonDerivative · entry 4 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 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. F3 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 14,036 | $5.64 Strike: $5.64 | $79,163.04 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 16 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 14,036 shares Expires 2025-03-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · kind: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 14,036 | $5.64 Strike: $5.64 | $79,163.04 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 15 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,036 Underlying: Class A Common Stock · 14,036 shares Expires 2025-03-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 14,036 | $5.64 Strike: $5.64 | $79,163.04 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 14 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,694 Underlying: Class B Common Stock · 14,036 shares Expires 2025-03-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F6 · derivative.exercise_date: Options vest monthly (1/48th) over four years from first vest 4/23/15. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 1,951 | $5.64 Strike: $5.64 | $11,003.64 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 13 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 1,951 shares Expires 2026-11-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · kind: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 1,951 | $5.64 Strike: $5.64 | $11,003.64 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 12 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,951 Underlying: Class A Common Stock · 1,951 shares Expires 2026-11-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,951 | $5.64 Strike: $5.64 | $11,003.64 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 11 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,779 Underlying: Class B Common Stock · 1,951 shares Expires 2026-11-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F5 · derivative.exercise_date: Options vested monthly (1/12th) over one year, first vest 2/2/18. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 34,013 | $2.94 Strike: $2.94 | $99,998.22 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 10 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 34,013 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · kind: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 34,013 | $2.94 Strike: $2.94 | $99,998.22 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 9 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,013 Underlying: Class A Common Stock · 34,013 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · derivative.exercise_date: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 34,013 | $2.94 Strike: $2.94 | $99,998.22 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · derivative · entry 8 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 34,013 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 2) F2 · shares: (footnote 1 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F4 · derivative.exercise_date: Options were 1/4 vested on 12/31/14 then 1/48th monthly thereafter over a total of 4 years. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 14,036 | $5.64 | $79,163.04 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · nonDerivative · entry 3 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 1,951 | $5.64 | $11,003.64 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · nonDerivative · entry 2 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,964 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 |
| May 31, 2018 Filed Jun 4, 2018 21:35 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 34,013 | $2.94 | $99,998.22 |
DisclosureSEC source: 0001716837-18-000039 · edgar.xml · nonDerivative · entry 1 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,013 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 |
| May 01, 2018 Filed May 3, 2018 21:53 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000018 · edgar.xml · derivative · entry 10 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 6,000 shares Expires 2024-01-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 4) F4 · kind: (footnote 3 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. 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. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 4) F4 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.