Kay Stephen H's Form 4 filing
Roku, Inc (ROKU) · filed Nov 17, 2023
- Accession no.
- 0001062993-23-021154
- Filed
- Nov 17, 2023
- Trade date
- Nov 15-17, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $392.3K. 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2023 | Class A Common Stock | MOption exerciseAcquired | +6,590 | $0.00 | $0 | 85,117 | Direct | |
| Nov 16, 2023 | Class A Common Stock | SSaleDisposed | −3,238 | $89.03 | −$288,279.14 | 81,879 | Direct | |
| Nov 17, 2023 | Class A Common Stock | SSaleDisposed | −1,166 | $89.19 | −$103,995.54 | 80,713 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2023 | Class A Common Stock | MOption exerciseDisposed | −2,152 | $0.00 | $0 | 12,907 | Direct | |
| Nov 15, 2023 | Class A Common Stock | MOption exerciseDisposed | −4,438 | $0.00 | $0 | 48,828 | 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.