Collier Charles's Form 4 filing
Roku, Inc (ROKU) · filed Mar 3, 2023
- Accession no.
- 0001716837-23-000017
- Filed
- Mar 3, 2023
- Trade date
- Mar 1-2, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market sales total $803.2K. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2023 | Class A Common Stock | MOption exerciseAcquired | +29,339 | $0.00 | $0 | 29,539 | Direct | |
| Mar 2, 2023 | Class A Common Stock | SSaleDisposed | −12,970 | $61.93 | −$803,232.1 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2023 | Class A Common Stock | MOption exerciseDisposed | −29,339 | $0.00 | $0 | 440,097 | Direct | |
| Mar 1, 2023 | Class A Common Stock | AGrant or awardAcquired | +2,750 | $0.00F4 | $0 | 2,750 | 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.
- F4
This stock option was awarded to the reporting person by the Compensation Committee of the Issuer's 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 $83,333.33.
Referenced by the price of 1 transaction in Table II.