Katz Gidon's Form 4 filing
Roku, Inc (ROKU) · filed Nov 17, 2023
- Accession no.
- 0001062993-23-021160
- Filed
- Nov 17, 2023
- Trade date
- Nov 15-16, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $910.3K. 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 |
|---|---|
| Katz GidonCIK 0001950263 | Officer (President, Consumer Experience) |
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 | SSaleDisposed | −4,455 | $90.00 | −$400,950 | 16,149 | Direct | |
| Nov 15, 2023 | Class A Common Stock | MOption exerciseAcquired | +7,907 | $0.00 | $0 | 24,056 | Direct | |
| Nov 16, 2023 | Class A Common Stock | SSaleDisposed | −4,295 | $89.03 | −$382,383.85 | 19,761 | Direct | |
| Nov 16, 2023 | Class A Common Stock | SSaleDisposed | −1,409 | $90.14 | −$127,007.26 | 18,352 | 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 | −3,344 | $0.00 | $0 | 30,096 | Direct | |
| Nov 15, 2023 | Class A Common Stock | MOption exerciseDisposed | −4,563 | $0.00 | $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.
No transaction price on this filing refers to a footnote.