[144] Roku, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice filed for Roku, Inc. (ROKU) reporting a proposed sale of 50,527 common shares with an aggregate market value of $5,052,700 to be executed through Morgan Stanley Smith Barney LLC on approximately 09/09/2025 on NASDAQ. The filing lists the securities as previously acquired as restricted stock on multiple dates (11/15/2023 through 09/01/2025) with tranche sizes shown. The form contains limited identifying details: filer CIK/CCC and contact information fields are blank, and issuer name, SEC file number, address and phone are not provided in the visible content. No securities were reported sold in the past three months. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information.

Positive

• Planned sale disclosed: Notice of proposed sale of 50,527 common shares with aggregate market value of $5,052,700.
• Execution details provided: Broker identified as Morgan Stanley Smith Barney LLC and exchange as NASDAQ with approximate sale date 09/09/2025.
• Acquisition history listed: Underlying shares documented as restricted stock granted across multiple dates with tranche sizes provided.

Negative

• Key filer and issuer identifiers missing: Filer CIK/CCC, submission contact, issuer name, SEC file number, address and phone are not provided in the visible content.
• Insufficient authentication details: No visible signature, plan-adoption date for any 10b5-1 trading plan, or explicit filer identity in the provided text.
• Context for materiality absent: The filing does not include holder identity or holdings context needed to assess investor impact.

Insights

Securities Analyst

TL;DR: A scheduled Rule 144 sale of 50,527 ROKU shares (~$5.05M) is planned via Morgan Stanley for 09/09/2025; form lacks issuer and filer identifiers.

The filing documents a proposed public sale under Rule 144 of 50,527 common shares valued at $5,052,700 executed on NASDAQ through Morgan Stanley Smith Barney LLC. The underlying shares are recorded as restricted stock granted in multiple tranches between 11/15/2023 and 09/01/2025, with per-tranche amounts listed. There are no reported sales by the holder in the past three months. From a market-impact perspective, the filing is a routine disclosure of an intended sale; materiality depends on context not provided here (total float, holder identity), which prevents further valuation of impact.

Corporate Governance Expert

TL;DR: Form 144 provides required notice for an executive sale but omits several identifying details; routine compliance language is included.

The document contains the prescribed statements for a Rule 144 notice including the seller’s representation about absence of undisclosed material adverse information and a listing of restricted-stock acquisition dates and amounts. However, key administrative fields—filer CIK/CCC, filer contact, and issuer identifying information—are not populated in the visible content. That omission limits confirmation of submitter authority and complicates cross-checking against insider holdings or trading plans. No 10b5-1 plan adoption date or signature block details are included in the visible text.

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	50527	5052700.00	147330633	09/09/2025	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	09/01/2025	Restricted Stock	ISSUER			7095	09/01/2025	Not Applicable
Common	06/01/2024	Restricted Stock	ISSUER			4873	06/01/2024	Not Applicable
Common	11/15/2023	Restricted Stock	ISSUER			2418	11/15/2023	Not Applicable
Common	11/15/2024	Restricted Stock	ISSUER			8296	11/15/2024	Not Applicable
Common	06/01/2025	Restricted Stock	ISSUER			9981	06/01/2025	Not Applicable
Common	09/01/2024	Restricted Stock	ISSUER			4874	09/01/2024	Not Applicable
Common	03/01/2024	Restricted Stock	ISSUER			4874	03/01/2024	Not Applicable
Common	03/01/2025	Restricted Stock	ISSUER			8116	03/01/2025	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

Nothing to Report

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 Form 144 for ROKU report?

The form reports a proposed sale of 50,527 common shares valued at $5,052,700 to be executed via Morgan Stanley Smith Barney LLC on 09/09/2025 on NASDAQ.

Who is the broker handling the sale in the ROKU Form 144?

The listed broker is Morgan Stanley Smith Barney LLC, address shown as 1 New York Plaza, 8th Floor, New York, NY 10004.

Were any securities sold by the filer in the past three months per this filing?

The filing states "Nothing to Report" for securities sold during the past three months.

What acquisition information is disclosed for the securities to be sold?

The shares were acquired as restricted stock on multiple dates between 11/15/2023 and 09/01/2025, with tranche sizes listed (e.g., 7,095; 9,981; 8,116 shares, etc.).

Does the filing identify the issuer or filer contact information?

No. The provided content does not include the issuer name, SEC file number, issuer address/phone, filer CIK/CCC, or submission contact details.