Anthony J. Wood - Jun 15, 2023 Form 4 Insider Report for ROKU, INC (ROKU)

Role
CEO and Chairman BOD, Director, 10%+ Owner
Signature
/s/ Renee Strandness, attorney-in-fact
Stock symbol
ROKU
Transactions as of
Jun 15, 2023
Transactions value $
$0
Form type
4
Date filed
6/20/2023, 05:00 PM
Previous filing
Jun 5, 2023
Next filing
Jul 6, 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ROKU Class A Common Stock Conversion of derivative security +6.5K 6.5K Jun 15, 2023 Wood Revocable Trust F1
transaction ROKU Class A Common Stock Gift $0 -6.5K -100% $0.00* 0 Jun 15, 2023 Wood Revocable Trust
transaction ROKU Class A Common Stock Gift $0 +6.5K +18.06% $0.00 42.5K Jun 15, 2023 Wood 2020 Irrevocable Trust
holding ROKU Class A Common Stock 6.85K Jun 15, 2023 The Anthony J. Wood 2022 Annuity Trust V
holding ROKU Class A Common Stock 100K Jun 15, 2023 The Anthony J. Wood 2022 Annuity Trust V-B
holding ROKU Class A Common Stock 41.9K Jun 15, 2023 The Anthony J. Wood 2023 Annuity Trust V

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ROKU Class B Common Stock Conversion of derivative security $0 -6.5K -0.04% $0.00 17.2M Jun 15, 2023 Class A Common Stock 6.5K $0.00 Wood Revocable Trust F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.