ROKU (NASDAQ: ROKU) Form 144 shows option exercise and multi-date sales

Rhea-AI Filing Summary

Form 144 filing for ROKU reports proposed resale of Common Stock via a stock option exercise. The filing lists a Stock Option Exercise transaction on 06/04/2026 and shows multiple Common sales by Charles Collier on 04/08/2026, 04/16/2026, 04/17/2026, 05/04/2026, 06/02/2026.

The excerpt names Morgan Stanley Smith Barney LLC Executive Financial Services as the broker and indicates cash settlement. The filing provides sale quantities and gross proceeds for each dated sale, listing individual examples of shares sold and corresponding dollar amounts.

Insights

Securities Compliance Counsel

Routine Rule 144 resale notice showing scheduled sales and broker routing.

Form 144 is a notice required when certain affiliates/controlled holders propose public resale; the excerpt identifies a Stock Option Exercise on 06/04/2026 and multiple prior sales by Charles Collier with quantities and gross proceeds listed.

Timing and settlement method are shown as Cash via Morgan Stanley Smith Barney LLC. Subsequent public-trading activity will depend on transfer agent and broker processing and compliance with Rule 144 conditions.

Key Figures

Broker reference number: 20537 Listed aggregate number: 131029521 Sale - 04/17/2026 proceeds: $23,667,805.00 +3 more

6 metrics

Broker reference number 20537 listed with the Stock Option Exercise entry dated 06/04/2026

Listed aggregate number 131029521 appears in issuer/security header (raw excerpt value)

Sale - 04/17/2026 proceeds $23,667,805.00 Charles Collier sale on 04/17/2026

Sale - 04/08/2026 proceeds $21,611,205.00 Charles Collier sale on 04/08/2026

Sale - 05/04/2026 shares 20,538 shares Charles Collier sale on 05/04/2026

Sale - 06/02/2026 proceeds $899,346.42 Charles Collier sale on 06/02/2026 for 7,067 shares

Key Terms

Form 144, Stock Option Exercise, Cash settlement, Selling broker

4 terms

Form 144 regulatory

"144: Securities To Be Sold | Common | 06/04/2026 | Stock Option Exercise"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Stock Option Exercise financial

"Common | 06/04/2026 | 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.

Cash settlement financial

"06/04/2026 | Cash"

Cash settlement is a process where, instead of exchanging physical assets like stocks or commodities, the parties involved settle the difference in value with money after a contract ends. For investors, it simplifies transactions by avoiding the need to handle or deliver the actual asset, making it quicker and more convenient to complete trades. This method ensures a straightforward way to settle agreements based on their final value.

Selling broker market

"Morgan Stanley Smith Barney LLC Executive Financial Services"

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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
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

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	20537	2565865.03	131029521	06/04/2026	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	06/04/2026	Stock Option Exercise	ISSUER			20537	06/04/2026	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	06/02/2026	7067	899346.42
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	05/04/2026	20538	2551423.42
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	04/17/2026	205807	23667805.00
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	04/16/2026	3431	377993.27
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	04/08/2026	205821	21611205.00
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	03/05/2026	1715	171500.00

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 disclose?

It discloses a proposed resale via a Stock Option Exercise on 06/04/2026, with past sales by Charles Collier listed. The filing names Morgan Stanley Smith Barney LLC as the broker and shows cash settlement and per-sale proceeds and share counts.

How many shares did Charles Collier sell in the excerpt?

The excerpt lists multiple sales: 205,821; 205,807; 20,538; 7,067; 3,431; 1,715 shares on various dates. Each sale entry is paired with a gross dollar amount in the filing for those specific dates.

Who is the listed broker for these transactions on the Form 144?

The filing names Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza, indicating they are routing the resale transactions. The entry shows the broker in connection with the stock option exercise and cash settlement.

Are proceeds or settlement method shown in the Form 144?

Yes. Each past sale line in the excerpt shows a gross dollar figure (for example, $23,667,805.00) and the summary entry for the stock option exercise indicates Cash as the settlement method and broker routing.

Does the Form 144 indicate any trading restrictions or conditions?

The provided excerpt does not state additional restrictions; it lists transaction dates, share counts, and gross proceeds. Rule-based conditions that affect resale eligibility are not detailed within the visible lines of this excerpt.