Wood Anthony J.'s Form 4 filing
Roku, Inc (ROKU) · filed Nov 2, 2021
- Accession no.
- 0001716837-21-000144
- Filed
- Nov 2, 2021
- Trade date
- Nov 1, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 18 non-derivative transactions and 5 derivative transactions. Open-market sales total $26.7M. It was filed 1 day 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 |
|---|---|
| Wood Anthony J.CIK 0001716837 | Director, Officer (CEO and Chairman BOD), 10% Owner |
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 1, 2021 | Class A Common Stock | CConversionAcquired | +40,000 | –F1 | – | 65,000 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | CConversionAcquired | +45,000 | $2.76 | +$124,200 | 45,000 | Direct | |
| Nov 1, 2021 | Class A Common Stock | GGiftDisposed | −45,000 | $2.76 | −$124,200 | 0 | Direct | |
| Nov 1, 2021 | Class A Common Stock | GGiftAcquired | +45,000 | $2.76 | +$124,200 | 110,000 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −400 | $304.32F3 | −$121,728 | 109,600 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −2,600 | $305.68F4 | −$794,768 | 107,000 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −2,000 | $306.58F5 | −$613,160 | 105,000 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −384 | $307.86F6 | −$118,218.24 | 104,616 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −1,103 | $309.24F7 | −$341,091.72 | 103,513 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −2,300 | $310.11F8 | −$713,253 | 101,213 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −4,882 | $311.04F9 | −$1,518,497.28 | 96,331 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −5,400 | $312.02F10 | −$1,684,908 | 90,931 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −4,800 | $312.98F11 | −$1,502,304 | 86,131 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −2,100 | $314.27F12 | −$659,967 | 84,031 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −16,012 | $315.29F13 | −$5,048,423.48 | 68,019 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −17,278 | $316.17F14 | −$5,462,785.26 | 50,741 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −19,951 | $317.25F15 | −$6,329,454.75 | 30,790 | Indirect | |
| Nov 1, 2021 | Class A Common Stock | SSaleDisposed | −5,790 | $317.92F16 | −$1,840,756.8 | 25,000 | Indirect |
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 1, 2021 | Class A Common Stock | CConversionDisposed | −40,000 | $0.00 | $0 | 16,440,815 | Indirect | |
| Nov 1, 2021 | Class B Common Stock | MOption exerciseDisposed | −45,000 | $2.76 | −$124,200 | 45,000 | Direct | |
| Nov 1, 2021 | Class A Common Stock | MOption exerciseAcquired | +45,000 | $2.76 | +$124,200 | 45,000 | Direct | |
| Nov 1, 2021 | Class A Common Stock | CConversionDisposed | −45,000 | $2.76 | −$124,200 | 0 | Direct | |
| Nov 1, 2021 | Class A Common Stock | AGrant or awardAcquired | +183 | $0.00F18 | $0 | 183 | 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.
- F1
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 1 transaction in Table I.
- F3
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $304.22 to $304.62 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F4
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $305.26 to $306.20 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F5
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $306.28 to $307.16 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F6
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $307.51 to $308.12 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F7
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $308.57 to $309.45 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F8
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $309.57 to $310.53 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F9
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $310.57 to $311.55 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F10
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $311.58 to $312.56 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F11
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $312.58 to $313.40 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F12
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $313.63 to $314.61 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F13
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $314.66 to $315.65 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F14
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $315.66 to $316.65 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F15
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $316.66 to $317.64 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F16
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $317.66 to $318.35 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F18
This stock option was awarded to the Reporting Person by the Issuer's Compensation Committee of the Board of Directors pursuant to the Issuer's Executive Supplemental Stock Option Program in exchange for a reduction in the monthly base salary of the Reporting Person of $20,000.00.
Referenced by the price of 1 transaction in Table II.