Roku officer plans $3.2M stock sale under Rule 144

Accepted by SEC EDGAR 09/04/2026 - 04:02 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

ROKU, INC. (ROKU) reported that officer Charles Collier filed a notice to sell common stock under Rule 144. Collier plans to sell up to 20,538 shares of Roku common stock through Morgan Stanley Smith Barney LLC, with an indicated aggregate value of about $3.22 million as of September 4, 2026.

The shares to be sold are tied to a stock option exercise for cash from the issuer. The filing also lists Collier’s prior Roku share sales over the past three months, providing context for aggregate sales under Rule 144.

Key Figures

Shares planned for sale: 20,538 shares Planned sale value: $3,224,265.75 Sale on September 2, 2026: 7,067 shares; $1,108,528.72 +2 more

5 metrics

Shares planned for sale 20,538 shares Common stock listed for sale under Rule 144 as of September 4, 2026

Planned sale value $3,224,265.75 Aggregate value for 20,538 Roku common shares to be sold

Sale on September 2, 2026 7,067 shares; $1,108,528.72 Roku common stock sold by Charles Collier in prior three months

Sale on August 4, 2026 20,538 shares; $2,997,021.00 Roku common stock sold by Charles Collier in prior three months

Sale on July 6, 2026 20,538 shares; $2,926,758.45 Roku common stock sold by Charles Collier in prior three months

Key Terms

Rule 144, Stock Option Exercise, broker-dealer

3 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Stock Option Exercise financial

"Common | 09/04/2026 | Stock Option Exercise | ISSUER"

A stock option exercise is the act of using a previously granted right to buy shares of a company's stock at a specific, predetermined price by paying that price and receiving the shares. It matters to investors because exercising changes who owns the shares (which can dilute existing ownership), can trigger taxable events and shift potential gains or losses, and affects voting power and the company’s outstanding share count—like turning a voucher into an actual product that becomes part of circulating supply.

broker-dealer financial

"Common | Morgan Stanley Smith Barney LLC Executive Financial Services"

A broker-dealer is a licensed firm or individual that both executes trades on behalf of clients (acting as a broker) and buys or sells securities for its own account (acting as a dealer). Investors care because broker-dealers provide the plumbing of markets — they place orders, hold or move cash and securities, offer research or advice, and their stability and fees directly affect trade execution, costs, and the safety of client funds; think of them as a combined travel agent and taxi for your investments.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does Roku (ROKU) disclose about Charles Collier’s planned stock sale?

Roku discloses that officer Charles Collier filed to sell up to 20,538 shares of Roku common stock under Rule 144, with an indicated aggregate value of about $3.22 million, in connection with a stock option exercise for cash from the issuer.

How many Roku (ROKU) shares is Charles Collier planning to sell under this notice?

Charles Collier plans to sell up to 20,538 shares of Roku common stock. These shares are listed in the notice as common stock to be sold through Morgan Stanley Smith Barney LLC, with the transaction date shown as September 4, 2026.

What is the indicated dollar value of the Roku (ROKU) shares to be sold by Charles Collier?

The notice states an aggregate value of approximately $3,224,265.75 for the planned sale of 20,538 Roku shares under Rule 144, as of the date listed in the filing, September 4, 2026.

What type of transaction is linked to Charles Collier’s planned Roku (ROKU) share sale?

The planned sale of Roku common stock by Charles Collier is linked to a Stock Option Exercise, with the issuer providing cash in connection with the option exercise and the shares being listed for sale under Rule 144.

What Roku (ROKU) stock sales has Charles Collier made in the past three months?

Over the past three months, Charles Collier sold Roku common stock in three transactions: 7,067 shares on September 2, 2026 for $1,108,528.72, 20,538 shares on August 4, 2026 for $2,997,021.00, and 20,538 shares on July 6, 2026 for $2,926,758.45.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001951665
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	ROKU, INC.
SEC File Number	001-38211
Address of Issuer	1173 Coleman Avenue San Jose CALIFORNIA 95110
Phone	408-556-9040
Name of Person for Whose Account the Securities are To Be Sold	CHARLES COLLIER
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	20538	3224265.75	132050905	09/04/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	09/04/2026	Stock Option Exercise	ISSUER			20538	09/04/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	09/02/2026	7067	1108528.72
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	08/04/2026	20538	2997021.00
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	07/06/2026	20538	2926758.45

144: Remarks and Signature

Remarks
Date of Notice	09/04/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	11/25/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Charles Collier
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)