Wood Anthony J. 的 Form 4 申報
Roku, Inc（ROKU），2021/12/3 申報
- 申報編號
- 0001716837-21-000158
- 申報時間
- 2021/12/3
- 交易日
- 2021/11/18-12/1
- 申報延遲
- 15 天遲報
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 29 筆非衍生性交易、6 筆衍生性交易。公開市場賣出合計 $1,851 萬。交易後 15 天才申報，超過 2 個營業日的期限。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Wood Anthony J.CIK 0001716837 | 董事、高階主管（CEO and Chairman BOD）、持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/18 | Class A Common Stock | C轉換取得 | +135,000 | –F1 | – | 160,000 | 間接 | |
| 2021/11/18 | Class A Common Stock | G贈與處分 | −135,000 | $0.00 | $0 | 25,000 | 間接 | |
| 2021/12/1 | Class A Common Stock | C轉換取得 | +40,000 | –F1 | – | 65,000 | 間接 | |
| 2021/12/1 | Class A Common Stock | C轉換取得 | +45,000 | $2.76 | +$124,200 | 45,000 | 直接 | |
| 2021/12/1 | Class A Common Stock | G贈與處分 | −45,000 | $2.76 | −$124,200 | 0 | 直接 | |
| 2021/12/1 | Class A Common Stock | G贈與取得 | +45,000 | $2.76 | +$124,200 | 110,000 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −10,309 | $207.60F3 | −$2,140,148.4 | 99,691 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −5,552 | $208.58F4 | −$1,158,036.16 | 94,139 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −5,406 | $209.74F5 | −$1,133,854.44 | 88,733 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −2,056 | $210.56F6 | −$432,911.36 | 86,677 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −1,400 | $211.84F7 | −$296,576 | 85,277 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −2,870 | $213.17F8 | −$611,797.9 | 82,407 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −3,477 | $214.02F9 | −$744,147.54 | 78,930 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −6,387 | $215.06F10 | −$1,373,588.22 | 72,543 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −4,616 | $215.95F11 | −$996,825.2 | 67,927 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −2,100 | $217.17F12 | −$456,057 | 65,827 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −1,000 | $218.05F13 | −$218,050 | 64,827 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −4,740 | $219.42F14 | −$1,040,050.8 | 60,087 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −2,500 | $220.39F15 | −$550,975 | 57,587 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −2,024 | $221.67F16 | −$448,660.08 | 55,563 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −2,337 | $222.40F17 | −$519,748.8 | 53,226 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −1,901 | $223.57F18 | −$425,006.57 | 51,325 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −5,669 | $225.06F19 | −$1,275,865.14 | 45,656 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −8,606 | $225.58F20 | −$1,941,341.48 | 37,050 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −4,279 | $226.73F21 | −$970,177.67 | 32,771 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −5,905 | $227.78F22 | −$1,345,040.9 | 26,866 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −400 | $228.58F23 | −$91,432 | 26,466 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −1,455 | $229.78F24 | −$334,329.9 | 25,011 | 間接 | |
| 2021/12/1 | Class A Common Stock | S賣出處分 | −11 | $230.73 | −$2,538.03 | 25,000 | 間接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/18 | Class A Common Stock | C轉換處分 | −135,000 | $0.00 | $0 | 16,250,815 | 間接 | |
| 2021/12/1 | Class A Common Stock | C轉換處分 | −40,000 | $0.00 | $0 | 16,210,815 | 間接 | |
| 2021/12/1 | Class B Common Stock | M行使選擇權處分 | −45,000 | $2.76 | −$124,200 | 0 | 直接 | |
| 2021/12/1 | Class A Common Stock | M行使選擇權取得 | +45,000 | $2.76 | +$124,200 | 45,000 | 直接 | |
| 2021/12/1 | Class A Common Stock | C轉換處分 | −45,000 | $2.76 | −$124,200 | 0 | 直接 | |
| 2021/12/1 | Class A Common Stock | A公司授予取得 | +279 | $0.00F26 | $0 | 279 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
表 I 有 2 筆交易的價格引用這則附註。
- F3
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.18 to $208.17 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.
表 I 有 1 筆交易的價格引用這則附註。
- F4
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $208.18 to $209.15 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.
表 I 有 1 筆交易的價格引用這則附註。
- F5
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $209.19 to $210.18 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.
表 I 有 1 筆交易的價格引用這則附註。
- F6
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $210.20 to $210.93 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.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $211.47 to $212.45 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.
表 I 有 1 筆交易的價格引用這則附註。
- F8
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $212.53 to $213.51 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.
表 I 有 1 筆交易的價格引用這則附註。
- F9
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $213.53 to $214.52 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.
表 I 有 1 筆交易的價格引用這則附註。
- F10
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $214.53 to $215.52 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.
表 I 有 1 筆交易的價格引用這則附註。
- F11
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $215.53 to $216.47 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.
表 I 有 1 筆交易的價格引用這則附註。
- F12
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $216.61 to $217.50 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.
表 I 有 1 筆交易的價格引用這則附註。
- F13
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $217.67 to $218.52 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.
表 I 有 1 筆交易的價格引用這則附註。
- F14
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $218.90 to $219.89 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.
表 I 有 1 筆交易的價格引用這則附註。
- F15
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $219.94 to $220.91 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.
表 I 有 1 筆交易的價格引用這則附註。
- F16
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $220.96 to $221.95 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.
表 I 有 1 筆交易的價格引用這則附註。
- F17
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $221.96 to $222.94 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.
表 I 有 1 筆交易的價格引用這則附註。
- F18
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.20 to $223.76 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.
表 I 有 1 筆交易的價格引用這則附註。
- F19
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.23 to $225.22 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.
表 I 有 1 筆交易的價格引用這則附註。
- F20
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.23 to $226.22 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.
表 I 有 1 筆交易的價格引用這則附註。
- F21
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.30 to $227.27 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.
表 I 有 1 筆交易的價格引用這則附註。
- F22
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.30 to $228.24 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.
表 I 有 1 筆交易的價格引用這則附註。
- F23
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.50 to $228.78 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.
表 I 有 1 筆交易的價格引用這則附註。
- F24
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $229.55 to $230.54 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.
表 I 有 1 筆交易的價格引用這則附註。
- F26
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.
表 II 有 1 筆交易的價格引用這則附註。