[144] Roku, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Roku, Inc. (ROKU): This filing reports a proposed sale of 14,361 common shares by Charles Collier through Morgan Stanley Smith Barney LLC on 09/03/2025 on NASDAQ, with an aggregate market value of $1,394,002.51. The company has 147,330,633 shares outstanding. The shares to be sold were acquired as restricted stock from the issuer on 09/01/2025, with payment recorded the same day. The filing also discloses recent sales by the same person over the past three months: 10,269 shares on 08/22/2025 for $975,555.00, 212,559 shares on 07/21/2025 for $20,193,161.48, 3,590 shares on 06/17/2025 for $305,150.00, and 7,181 shares on 06/05/2025 for $538,575.00. The filer certifies no undisclosed material adverse information.

Positive

• Full Rule 144 disclosure provided, including broker, share counts, acquisition details, and recent sales, enhancing transparency
• Securities acquired as restricted stock are identified with acquisition and payment dates

Negative

• Multiple insider sales in the past three months, including a 212,559-share sale on 07/21/2025, which may reflect insider liquidity needs

Insights

Securities Analyst

TL;DR: Insider filing shows routine disposition of shares; recent large July sale is notable in volume but not disclosed as material here.

The Form 144 documents a proposed sale of 14,361 common shares by Charles Collier through Morgan Stanley Smith Barney, scheduled for 09/03/2025, and confirms acquisition as restricted stock on 09/01/2025. The filing also lists four prior sales in the past three months, including a 212,559-share sale on 07/21/2025 generating $20,193,161.48. From a trading-impact perspective, these disclosures are standard and provide transparency on insider liquidity. The filing does not include context on any trading plan or company-specific material nonpublic information.

Compliance/Risk Analyst

TL;DR: Filing complies with Rule 144 disclosure requirements and includes representations about absence of undisclosed material information.

The notice identifies the broker, transaction date, share counts, acquisition details, and prior recent sales, meeting key Rule 144 disclosure elements. The signer attests to lacking material undisclosed information. There is no indication in this filing of a 10b5-1 plan adoption date or other defensive measures. For compliance review, the record of restricted stock acquisition and subsequent proposed sale is documented, but no additional risk items or violations are reported within this notice.

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	14361	1394002.51	147330633	09/03/2025	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			14361	09/01/2025	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
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 does the Form 144 for ROKU report?

The form reports a proposed sale of 14,361 common shares by Charles Collier through Morgan Stanley on 09/03/2025, valued at $1,394,002.51.

How were the shares being sold acquired?

The shares were acquired as restricted stock from the issuer on 09/01/2025, with payment noted as 09/01/2025.

What recent insider sales does the filing disclose?

It lists four sales in the past three months: 10,269 shares (08/22/2025, $975,555.00), 212,559 shares (07/21/2025, $20,193,161.48), 3,590 shares (06/17/2025, $305,150.00), and 7,181 shares (06/05/2025, $538,575.00).

Which broker will execute the proposed sale?

The filing names Morgan Stanley Smith Barney LLC Executive Financial Services, 1 New York Plaza, 8th Floor, New York, NY 10004 as the broker.

Does the filing state whether there is any undisclosed material information?

By signing the notice, the person represents they do not know any material adverse information