Collier Charles's Form 4 filing
Roku, Inc (ROKU) · filed Sep 6, 2023
- Accession no.
- 0001062993-23-017741
- Filed
- Sep 6, 2023
- Trade date
- Sep 1-6, 2023
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $3.71M. 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 |
|---|---|
| Collier CharlesCIK 0001951665 | Officer (President, Roku Media) |
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 | +29,340 | $0.00 | $0 | 60,081 | Direct | |
| Sep 5, 2023 | Class A Common Stock | SSaleDisposed | −15,168 | $82.69 | −$1,254,241.92 | 44,913 | Direct | |
| Sep 5, 2023 | Class A Common Stock | SSaleDisposed | −14,172 | $80.58 | −$1,141,979.76 | 30,741 | Direct | |
| Sep 6, 2023 | Class A Common Stock | SSaleDisposed | −14,172 | $92.89 | −$1,316,437.08 | 16,569 | 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 | MOption exerciseDisposed | −29,340 | $0.00 | $0 | 381,417 | Direct | |
| Sep 1, 2023 | Class A Common Stock | AGrant or awardAcquired | +2,142 | $0.00 | $0 | 2,142 | 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.