Rosenberg Scott A.'s Form 4 filing
Roku, Inc (ROKU) · filed Nov 23, 2021
- Accession no.
- 0001716837-21-000155
- Filed
- Nov 23, 2021
- Trade date
- Nov 22, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.75M. 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 |
|---|---|
| Rosenberg Scott A.CIK 0001716857 | Officer (GM, Sr. VP Platform Business) |
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 22, 2021 | Class A Common Stock | CConversionAcquired | +7,500 | $5.64 | +$42,300 | 22,621 | Direct | |
| Nov 22, 2021 | Class A Common Stock | SSaleDisposed | −7,500 | $233.56 | −$1,751,700 | 15,121 | 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 22, 2021 | Class B Common Stock | MOption exerciseDisposed | −7,500 | $5.64 | −$42,300 | 0 | Direct | |
| Nov 22, 2021 | Class A Common Stock | MOption exerciseAcquired | +7,500 | $5.64 | +$42,300 | 7,500 | Direct | |
| Nov 22, 2021 | Class A Common Stock | CConversionDisposed | 0 | $5.64 | −$42,300 | 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.