[144] Roku, Inc. SEC Filing

Rhea-AI Filing Summary

ROKU filed a Form 144 notifying the proposed sale of 25,000 common shares, with an aggregate market value of $2,080,250.00, listed for sale on NASDAQ with an approximate sale date of 08/11/2025. The shares are held with Morgan Stanley Smith Barney LLC (Executive Financial Services, 1 New York Plaza, 8th Floor, New York, NY).

The filing states the shares were acquired on 06/14/2013 through previously exercised stock options from the issuer and paid in cash. The document also discloses three prior 10b5-1 sales of 25,000 shares each on 05/29/2025, 06/10/2025, and 07/10/2025, with gross proceeds of $1,875,000.00, $2,006,850.00, and $2,241,062.50 respectively. The filing reports 130,251,569 shares outstanding.

Positive

• Planned sale disclosed: Proposed sale of 25,000 common shares with aggregate market value $2,080,250.00.
• Acquisition details provided: Shares acquired on 06/14/2013 via previously exercised stock options and paid in cash.
• Broker identified: Morgan Stanley Smith Barney LLC listed as the executing broker.
• Prior 10b5-1 sales disclosed: Three 25,000-share sales on 05/29/2025, 06/10/2025, and 07/10/2025 with gross proceeds stated.

Negative

• None.

Insights

Securities Analyst

TL;DR Routine Form 144 disclosing a planned sale of 25,000 ROKU shares and prior 10b5-1 sales over the past three months.

The filing explicitly reports a proposed sale of 25,000 common shares with an aggregate market value of $2,080,250.00, scheduled approximately for 08/11/2025, executed through Morgan Stanley Smith Barney LLC. Acquisition details show the shares were obtained via previously exercised stock options on 06/14/2013 and paid in cash. The document also lists three prior 10b5-1 sales of 25,000 shares each on 05/29/2025, 06/10/2025, and 07/10/2025, with provided gross proceeds. This is a straightforward disclosure of intended insider selling without additional operational or financial data in the filing.

Corporate Governance Expert

TL;DR The filer made compliant disclosures under Rule 144 and identified a broker and prior 10b5-1 transactions.

The form includes the broker name and address, the acquisition method (previously exercised stock options) and payment method (cash), and a representation regarding absence of undisclosed material adverse information. It also provides specific past-sale entries labeled as 10b5-1 sales with dates and gross proceeds. The filing contains no statements about issuer operations or other governance changes; it focuses on sale logistics and required attestations.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

Relationship to Issuer

Relationship to Issuer

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	25000	2080250.00	130251569	08/11/2025	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			25000	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	07/10/2025	25000	2241062.50
10b5-1 Sales for THE WOOD REVOCABLE TRUST U/A DTD 12/01/2017 1173 Coleman Avenue San Jose CA 95110	Common	06/10/2025	25000	2006850.00
10b5-1 Sales for THE WOOD REVOCABLE TRUST U/A DTD 12/01/2017 1173 Coleman Avenue San Jose CA 95110	Common	05/29/2025	25000	1875000.00

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the ROKU Form 144 show about the proposed sale?

The filing notifies a proposed sale of 25,000 common shares with an aggregate market value of $2,080,250.00, approximately on 08/11/2025, on NASDAQ.

How were the shares being sold originally acquired according to the filing?

The shares were acquired on 06/14/2013 through previously exercised stock options from the issuer and payment was made in cash.

Who is the broker listed for the proposed sale on the Form 144?

The broker named is Morgan Stanley Smith Barney LLC, Executive Financial Services, 1 New York Plaza, 8th Floor, New York, NY 10004.

Were there any recent insider sales disclosed in the filing?

Yes. The filing lists three prior 10b5-1 sales of 25,000 shares each on 05/29/2025, 06/10/2025, and 07/10/2025 with gross proceeds of $1,875,000.00, $2,006,850.00, and $2,241,062.50 respectively.

How many shares outstanding does the filing report for the issuer?

The filing reports 130,251,569 shares outstanding.