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 |
|---|---|---|---|---|---|---|
| May 01, 2018 Filed May 3, 2018 21:53 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000018 · 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. F3 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 4) F4 · shares: (footnote 3 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. 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 |
| May 01, 2018 Filed May 3, 2018 21:53 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: 0001716837-18-000018 · edgar.xml · derivative · entry 8 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,040 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. F3 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 4) F4 · shares: (footnote 3 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F2 · derivative.exercise_date: 1/4 of the Option vested on 12/31/2014 and 1/48 of the Option vests in equal monthly installments beginning 1/2/15. Read SEC document |
| May 01, 2018 Filed May 3, 2018 21:53 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000018 · 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. 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 |
| May 01, 2018 Filed May 3, 2018 21:53 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000018 · 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. F3 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 4) F4 · shares: (footnote 3 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. 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 |
| May 01, 2018 Filed May 3, 2018 21:53 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: 0001716837-18-000018 · edgar.xml · derivative · entry 5 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,216 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. F3 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued on footnote 4) F4 · shares: (footnote 3 continued), (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F1 · derivative.exercise_date: 1/4 of the Option vested on 1/2/2015 and 1/48 of the Option vests in equal monthly installments beginning one month from 1/2/2015. Read SEC document |
| May 01, 2018 Filed May 3, 2018 21:53 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 6,000 | $32.38 | $194,280.00 |
DisclosureSEC source: 0001716837-18-000018 · edgar.xml · nonDerivative · entry 4 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F5 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| May 01, 2018 Filed May 3, 2018 21:53 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 6,000 | $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000018 · edgar.xml · nonDerivative · entry 3 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. F5 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| May 01, 2018 Filed May 3, 2018 21:53 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 30,000 | $32.38 | $971,400.00 |
DisclosureSEC source: 0001716837-18-000018 · edgar.xml · nonDerivative · entry 2 KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F5 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| May 01, 2018 Filed May 3, 2018 21:53 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 30,000 | $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000018 · edgar.xml · nonDerivative · entry 1 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. F5 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| April 04, 2018 Filed Apr 5, 2018 00:38 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000013 · edgar.xml · derivative · entry 10 KAY STEPHEN H · CIK 0001247487 · Director · SVP, Gen. Counsel, Sec 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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued in footnote 4) F4 · kind: (footnote 3 continued), (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued in footnote 4) F4 · derivative.exercise_date: (footnote 3 continued), (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| April 04, 2018 Filed Apr 5, 2018 00:38 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 6,000 | $2.94 Strike: $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000013 · edgar.xml · derivative · entry 9 KAY STEPHEN H · CIK 0001247487 · Director · SVP, Gen. Counsel, Sec 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. F3 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued in footnote 4) F4 · shares: (footnote 3 continued), (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued in footnote 4) F4 · derivative.exercise_date: (footnote 3 continued), (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| April 04, 2018 Filed Apr 5, 2018 00:38 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: 0001716837-18-000013 · edgar.xml · derivative · entry 8 KAY STEPHEN H · CIK 0001247487 · Director · SVP, Gen. Counsel, Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,040 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. F3 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued in footnote 4) F4 · shares: (footnote 3 continued), (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F5 · derivative.exercise_date: Granted January 23, 2014; 1/48 of the Option vests in equal monthly installments from 1/23/14. Read SEC document |
| April 04, 2018 Filed Apr 5, 2018 00:38 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 6,000 | $32.00 | $192,000.00 |
DisclosureSEC source: 0001716837-18-000013 · edgar.xml · nonDerivative · entry 4 KAY STEPHEN H · CIK 0001247487 · Director · SVP, Gen. Counsel, Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| April 04, 2018 Filed Apr 5, 2018 00:38 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 6,000 | $2.94 | $17,640.00 |
DisclosureSEC source: 0001716837-18-000013 · edgar.xml · nonDerivative · entry 3 KAY STEPHEN H · CIK 0001247487 · Director · SVP, Gen. Counsel, Sec 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. F1 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
| April 02, 2018 Filed Apr 5, 2018 00:38 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000013 · edgar.xml · derivative · entry 7 KAY STEPHEN H · CIK 0001247487 · Director · SVP, Gen. Counsel, Sec 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. F3 · kind: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued in footnote 4) F4 · kind: (footnote 3 continued), (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued in footnote 4) F4 · derivative.exercise_date: (footnote 3 continued), (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| April 02, 2018 Filed Apr 5, 2018 00:38 UTC | ROKU, INC ROKU · Entity 2524 | Exercise / conversionClass B Common Stock · Derivative | 30,000 | $2.94 Strike: $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000013 · edgar.xml · derivative · entry 6 KAY STEPHEN H · CIK 0001247487 · Director · SVP, Gen. Counsel, Sec 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. F3 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued in footnote 4) F4 · shares: (footnote 3 continued), (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued in footnote 4) F4 · derivative.exercise_date: (footnote 3 continued), (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Read SEC document |
| April 02, 2018 Filed Apr 5, 2018 00:38 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: 0001716837-18-000013 · edgar.xml · derivative · entry 5 KAY STEPHEN H · CIK 0001247487 · Director · SVP, Gen. Counsel, Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303,216 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. F3 · shares: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (continued in footnote 4) F4 · shares: (footnote 3 continued), (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. F5 · derivative.exercise_date: Granted January 23, 2014; 1/48 of the Option vests in equal monthly installments from 1/23/14. Read SEC document |
| April 02, 2018 Filed Apr 5, 2018 00:38 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 30,000 | $30.47 | $914,100.00 |
DisclosureSEC source: 0001716837-18-000013 · edgar.xml · nonDerivative · entry 2 KAY STEPHEN H · CIK 0001247487 · Director · SVP, Gen. Counsel, Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.06 to $31.53 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 |
| April 02, 2018 Filed Apr 5, 2018 00:38 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 30,000 | $2.94 | $88,200.00 |
DisclosureSEC source: 0001716837-18-000013 · edgar.xml · nonDerivative · entry 1 KAY STEPHEN H · CIK 0001247487 · Director · SVP, Gen. Counsel, Sec 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. F1 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.