Form 144: Affiliate sells 9,593 and 3,250 ROKU shares

Morgan Stanley Smith Barney LLC submitted a Form 144 notice for proposed sales of the issuer's Common Stock by an affiliate, reporting specific transactions and additional restricted stock scheduled for sale.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a Form 144 notice for proposed sales of the issuer's Common Stock by an affiliate, reporting specific transactions and additional restricted stock scheduled for sale. The filing lists completed sales of 9,593 shares on 05/01/2026 for $1,204,113.36 and 3,250 shares on 03/03/2026 for $310,602.50. The notice also lists restricted stock amounts of 3,250 shares (dated 06/01/2026) and 1,126 shares (dated 06/01/2025) identified as "Issuer" restricted stock.

Insights

Securities Compliance Analyst

Form 144 reports proposed and recent affiliate sales and lists restricted shares tied to the issuer.

The filing shows two reported dispositions with exact share counts and proceeds: 9,593 shares for $1,204,113.36 on 05/01/2026 and 3,250 shares for $310,602.50 on 03/03/2026. These are standard affiliate sale notices under resale rules.

Restricted stock rows list 3,250 and 1,126 shares with issuer designation and respective grant dates; their transferability and timing depend on issuer-related restrictions and are not altered by this notice.

Key Figures

Shares sold (May 1, 2026): 9,593 shares Proceeds (May 1, 2026): $1,204,113.36 Shares sold (Mar 3, 2026): 3,250 shares +3 more

6 metrics

Shares sold (May 1, 2026) 9,593 shares Sale dated <date>05/01/2026</date>

Proceeds (May 1, 2026) $1,204,113.36 Proceeds reported for 9,593 shares on <date>05/01/2026</date>

Shares sold (Mar 3, 2026) 3,250 shares Sale dated <date>03/03/2026</date>

Proceeds (Mar 3, 2026) $310,602.50 Proceeds reported for 3,250 shares on <date>03/03/2026</date>

Restricted stock (06/01/2026) 3,250 shares Restricted Stock, Issuer, dated <date>06/01/2026</date>

Restricted stock (06/01/2025) 1,126 shares Restricted Stock, Issuer, dated <date>06/01/2025</date>

Key Terms

Restricted Stock, Form 144, Proceeds

3 terms

Restricted Stock financial

"Restricted Stock | ISSUER | 3,250 | 06/01/2026"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

Form 144 regulatory

"Filer Information | 144: Filer Information"

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.

Proceeds financial

"9593 | 1204113.36"

FAQ

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

What does ROKU's Form 144 filed via Morgan Stanley Smith Barney LLC report?

It reports proposed and recent sales of Common Stock by an affiliate. The filing lists sales of 9,593 shares on 05/01/2026 and 3,250 shares on 03/03/2026, with proceeds shown for each transaction.

How much proceeds are reported for the listed sales in the Form 144?

The filing shows proceeds of $1,204,113.36 for 9,593 shares sold on 05/01/2026 and $310,602.50 for 3,250 shares sold on 03/03/2026 as reported in the notice.

What restricted stock amounts are disclosed in this Form 144 for ROKU?

The notice lists restricted stock identified as "Issuer" of 3,250 shares with a date of 06/01/2026 and 1,126 shares with a date of 06/01/2025, shown in the securities-to-be-sold section.

Does this Form 144 indicate who receives the sale proceeds?

The filing attributes the sales to an affiliate broker but does not specify final payee receipts beyond the reported transaction proceeds; cash-flow treatment beyond the listed proceeds is not detailed in the excerpt.

Is this Form 144 evidence of issuer-initiated dilution for ROKU?

No. The filing documents affiliate resale transactions and restricted shares; it does not state any new primary issuance or registration of additional shares by the issuer in the provided excerpt.

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

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Accepted by SEC EDGAR 06/02/2026 - 04:05 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	0001937263
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	GILBERT FUCHSBERG
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	4376	556889.76	131029521	06/02/2026	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	06/01/2026	Restricted Stock	ISSUER			3250	06/01/2026	Not Applicable
Common	06/01/2025	Restricted Stock	ISSUER			1126	06/01/2025	Not Applicable

* 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
GILBERT FUCHSBERG 1173 Coleman Avenue San Jose CA 95110	Common	05/01/2026	9593	1204113.36
GILBERT FUCHSBERG 1173 Coleman Avenue San Jose CA 95110	Common	03/03/2026	3250	310602.50

144: Remarks and Signature

Remarks
Date of Notice	06/02/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	09/12/2025
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/ Gilbert Fuchsberg
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)