[144] Roku, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Roku, Inc. (ROKU): The filer proposes the sale of 10,269 common shares through Morgan Stanley Smith Barney LLC on 09/04/2025 with an aggregate market value of $1,018,079.96. The filing reports the shares were acquired on 09/04/2025 by stock option exercise from the issuer and paid in cash. The filing lists 147,330,633 shares outstanding for the class. The notice also discloses five prior sales by Charles Collier in the past three months totaling 252,948 shares sold on specific dates with gross proceeds reported for each sale.

Positive

• Full Rule 144 details provided including broker, acquisition method, sale date, and aggregate market value
• Recent three-month sales history disclosed (dates, amounts, and gross proceeds) for transparency

Negative

• Insider selling activity—multiple sales totaling 252,948 shares in the past three months which may be viewed negatively by some investors
• No disclosure of a 10b5-1 trading plan adoption date is provided in the remarks section

Insights

Securities Analyst

TL;DR: Insider sale disclosed: 10,269 shares to be sold on 09/04/2025 for about $1.02M; recent prior sales are disclosed.

The filing is a routine Rule 144 notice showing a proposed sale of shares acquired by option exercise the same day and being sold through Morgan Stanley Smith Barney LLC. Important facts are the number of shares to be sold, the stated aggregate market value, the reported shares outstanding, and the record of multiple recent sales by the same individual over the prior three months. For investors, this is transparent insider selling activity but the filing itself does not provide company operational or financial information.

Compliance / Corporate Governance Expert

TL;DR: Filing appears compliant with Rule 144 disclosure requirements and records recent insider sales and acquisition details.

The notice includes the required broker, sale date, acquisition method (stock option exercise), payment method (cash), and a history of sales in the prior three months by the named seller, satisfying key Rule 144 disclosure items. The signer represents no undisclosed material adverse information per the form language. The form does not include supplemental explanatory remarks or a 10b5-1 plan adoption date.

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	10269	1018079.96	147330633	09/04/2025	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	09/04/2025	Stock Option Exercise	ISSUER			10269	09/04/2025	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	09/03/2025	14361	1394002.51
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	08/22/2025	10269	975555.00
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	07/21/2025	212559	20193161.48
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	06/17/2025	3590	305150.00
CHARLES COLLIER 1173 Coleman Avenue San Jose CA 95110	Common	06/05/2025	7181	538575.00

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 shares does the Form 144 for ROKU cover?

The notice covers the proposed sale of 10,269 common shares to be sold on 09/04/2025.

What is the aggregate market value of the shares proposed for sale in the ROKU filing?

The aggregate market value reported is $1,018,079.96.

How were the shares acquired that are proposed for sale in this Form 144?

The shares were acquired on 09/04/2025 by stock option exercise from the issuer and paid for in cash.

Who is the broker handling the proposed sale for ROKU shares?

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

What recent insider sales are disclosed in the filing?

Five sales by Charles Collier are listed: 09/03/2025 (14,361), 08/22/2025 (10,269), 07/21/2025 (212,559), 06/17/2025 (3,590), and 06/05/2025 (7,181) with gross proceeds shown for each.

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

The filing reports 147,330,633 shares outstanding for the class of common stock.