Affiliate files notice to sell 75,000 Roku shares

Morgan Stanley Smith Barney LLC submitted a notice concerning up to 75,000 shares of Common Stock to be sold that were issued upon previously exercised stock options dated 06/14/2013.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a notice concerning up to 75,000 shares of Common Stock to be sold that were issued upon previously exercised stock options dated 06/14/2013. The record shows three 10b5-1 sales by The Wood Revocable Trust on 03/10/2026, 04/10/2026, and 04/16/2026 for 50,000, 50,000, and 25,000 shares respectively, with proceeds listed for each sale.

Insights

Securities Counsel

Form 144 notice records proposed affiliate resale and prior 10b5-1 executions.

The filing lists 75,000 shares as securities to be sold that originated from previously exercised options dated 06/14/2013. It also documents three executed 10b5-1 plans by The Wood Revocable Trust with specific sale dates and proceeds.

Regulatory focus is routine: ensure compliance with resale restrictions and Rule 144 conditions; subsequent filings may disclose completion or additional transactions.

Equity Capital Markets Analyst

Document is administrative: records proposed resale and recent trust sales.

The entries include individual sale sizes and gross proceeds for the trust's 10b5-1 transactions on 03/10/2026, 04/10/2026, and 04/16/2026. The 75,000-share notice ties to options exercised in 2013.

Market impact is informational; cash‑flow treatment and any remaining lockups are not specified in the excerpt.

Key Figures

Shares to be sold (notice): 75,000 shares 10b5-1 sale on 03/10/2026: 50,000 shares 10b5-1 sale on 04/10/2026: 50,000 shares +1 more

4 metrics

Shares to be sold (notice) 75,000 shares Previously exercised stock options dated 06/14/2013

10b5-1 sale on 03/10/2026 50,000 shares Proceeds: $4,983,845.00

10b5-1 sale on 04/10/2026 50,000 shares Proceeds: $5,043,917.50

10b5-1 sale on 04/16/2026 25,000 shares Proceeds: $2,754,692.50

Key Terms

10b5-1 Sales, Previously Exercised Stock Options, Cash

3 terms

10b5-1 Sales regulatory

"10b5-1 Sales for THE WOOD REVOCABLE TRUST U/A DTD 12/01/2017"

10b5-1 sales are pre-arranged stock-trading plans that let company insiders automatically buy or sell shares according to a fixed schedule or formula, even if they later learn confidential information. Think of it as setting up an automatic thermostat for trades: it creates a clear, documented path that can protect insiders from insider-trading accusations and gives investors a signal about predictable insider activity—though it can also simply be a way for insiders to diversify or raise cash.

Previously Exercised Stock Options financial

"Previously Exercised Stock Options | Issuer | 75000 | 06/14/2013"

Cash financial

"Previously Exercised Stock Options | Issuer | 75000 | 06/14/2013 | Cash"

FAQ

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

What does Roku's Form 144 filing disclose?

It discloses a notice to sell 75,000 shares of common stock originating from previously exercised options dated 06/14/2013. The filing also lists three executed 10b5-1 sales by The Wood Revocable Trust with dates and proceeds.

Who executed the recent 10b5-1 sales listed in the filing for ROKU?

The sales were executed by The Wood Revocable Trust U/A DTD 12/01/2017. The trust sold 50,000, 50,000, and 25,000 shares on 03/10/2026, 04/10/2026, and 04/16/2026 respectively, with proceeds shown for each sale.

What proceeds were reported for the 10b5-1 sales in the Roku filing?

The filing shows gross proceeds of $4,983,845.00 for 50,000 shares on 03/10/2026, $5,043,917.50 for 50,000 shares on 04/10/2026, and $2,754,692.50 for 25,000 shares on 04/16/2026 as listed in the excerpt.

Are the 75,000 shares in the Form 144 currently sold or proposed for sale?

The filing lists 75,000 shares as securities to be sold that were issued upon previously exercised options dated 06/14/2013. The entry is a notice of proposed resale rather than an explicit completion statement in the excerpt.

Does the filing state who will receive proceeds from the 75,000-share sale?

The excerpt indicates the securities were issued upon exercise and shows the method as Cash for the 06/14/2013 issuance. It does not explicitly state the recipient of proceeds for the proposed resale in the provided text.

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

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Accepted by SEC EDGAR 05/11/2026 - 04:37 PM EDT Learn about SEC filing dates

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	0001716837
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	4085569040
Name of Person for Whose Account the Securities are To Be Sold	THE WOOD REVOCABLE TRUST U/A DTD 12/01/2017
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	Director
Relationship to Issuer	Officer
Relationship to Issuer	10% Stockholder

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	75000	9714750.00	131029521	05/11/2026	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	06/14/2013	Previously Exercised Stock Options	Issuer			75000	06/14/2013	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
10b5-1 Sales for THE WOOD REVOCABLE TRUST U/A DTD 12/01/2017 1173 Coleman Avenue San Jose CA 95110	Common	04/16/2026	25000	2754692.50
10b5-1 Sales for THE WOOD REVOCABLE TRUST U/A DTD 12/01/2017 1173 Coleman Avenue San Jose CA 95110	Common	04/10/2026	50000	5043917.50
10b5-1 Sales for THE WOOD REVOCABLE TRUST U/A DTD 12/01/2017 1173 Coleman Avenue San Jose CA 95110	Common	03/10/2026	50000	4983845.00

144: Remarks and Signature

Remarks	The securities to be sold were acquired upon the previous exercise of options during the period of 06/14/2013 through 07/05/2023.
Date of Notice	05/11/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	08/25/2025
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/ Anthony John Wood
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)