Banks Matthew C.'s Form 4 filing
Roku, Inc (ROKU) · filed Sep 6, 2023
- Accession no.
- 0001062993-23-017740
- Filed
- Sep 6, 2023
- Trade date
- Sep 1-6, 2023
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Checked
This filing lists 3 non-derivative transactions and 4 derivative transactions. Open-market sales total $123.1K. It was filed 5 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 |
|---|---|
| Banks Matthew C.CIK 0001959033 | Officer (VP, Corp Controller & CAO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2023 | Class A Common Stock | MOption exerciseAcquired | +2,502 | $0.00 | $0 | 7,276 | Direct | |
| Sep 5, 2023 | Class A Common Stock | SSaleDisposed | −1,259 | $82.69 | −$104,106.71 | 6,017 | Direct | |
| Sep 6, 2023 | Class A Common Stock | SSaleDisposed | −205 | $92.89 | −$19,042.45 | 5,812 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2023 | Class A Common Stock | MOption exerciseDisposed | −359 | $0.00 | $0 | 2,157 | Direct | |
| Sep 1, 2023 | Class A Common Stock | MOption exerciseDisposed | −746 | $0.00 | $0 | 4,485 | Direct | |
| Sep 1, 2023 | Class A Common Stock | MOption exerciseDisposed | −148 | $0.00 | $0 | 1,336 | Direct | |
| Sep 1, 2023 | Class A Common Stock | MOption exerciseDisposed | −1,249 | $0.00 | $0 | 16,232 | 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.
No transaction price on this filing refers to a footnote.