Kay Stephen H's Form 4 filing
Roku, Inc (ROKU) · filed Aug 2, 2023
- Accession no.
- 0001062993-23-015727
- Filed
- Aug 2, 2023
- Trade date
- Jul 31, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 9 derivative transactions. Open-market sales total $521.8K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Kay Stephen HCIK 0001247487 | Officer (SVP General Counsel, Secretary) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 31, 2023 | Class A Common Stock | CConversionAcquired | +3,216 | $2.94 | +$9,455.04 | 81,743 | Direct | |
| Jul 31, 2023 | Class A Common Stock | CConversionAcquired | +40 | $2.94 | +$117.6 | 81,783 | Direct | |
| Jul 31, 2023 | Class A Common Stock | CConversionAcquired | +2,436 | $5.64 | +$13,739.04 | 84,219 | Direct | |
| Jul 31, 2023 | Class A Common Stock | SSaleDisposed | −5,692 | $91.68 | −$521,842.56 | 78,527 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 31, 2023 | Class B Common Stock | MOption exerciseDisposed | −3,216 | $2.94 | −$9,455.04 | 0 | Direct | |
| Jul 31, 2023 | Class A Common Stock | MOption exerciseAcquired | +3,216 | $2.94 | +$9,455.04 | 3,216 | Direct | |
| Jul 31, 2023 | Class A Common Stock | CConversionDisposed | −3,216 | $0.00F3 | $0 | 0 | Direct | |
| Jul 31, 2023 | Class B Common Stock | MOption exerciseDisposed | −40 | $2.94 | −$117.6 | 0 | Direct | |
| Jul 31, 2023 | Class A Common Stock | MOption exerciseAcquired | +40 | $2.94 | +$117.6 | 40 | Direct | |
| Jul 31, 2023 | Class A Common Stock | CConversionDisposed | −40 | $0.00F3 | $0 | 0 | Direct | |
| Jul 31, 2023 | Class B Common Stock | MOption exerciseDisposed | −2,436 | $5.64 | −$13,739.04 | 0 | Direct | |
| Jul 31, 2023 | Class A Common Stock | MOption exerciseAcquired | +2,436 | $5.64 | +$13,739.04 | 2,436 | Direct | |
| Jul 31, 2023 | Class A Common Stock | CConversionDisposed | −2,436 | $0.00F3 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
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.
Referenced by the price of 3 transactions in Table II.