[144] Roku, Inc. SEC Filing

Rhea-AI Filing Summary

Roku, Inc. (ROKU) notice reports a proposed sale of 25,000 common shares to be executed through Morgan Stanley Smith Barney on 09/10/2025 on NASDAQ with an aggregate market value of $2,424,750. The shares were acquired and paid for on 09/10/2025 by exercise of stock options. The filing also discloses three recent 10b5-1 plan sales by THE WOOD REVOCABLE TRUST totaling 75,000 shares during July–September 2025, generating gross proceeds of $6,285,607.50 across those transactions. The filer certifies no undisclosed material adverse information and references reliance on a written trading plan where applicable.

Insights

Securities Analyst

TL;DR: Routine insider option exercise and scheduled 10b5-1 sales; transaction sizes are small relative to shares outstanding.

The filing documents a single option exercise and proposed sale of 25,000 Roku shares for $2.42 million and lists three prior 10b5-1 sales totaling 75,000 shares and $6.29 million in gross proceeds. Against the reported 130,251,569 shares outstanding, these transactions represent a de minimis ownership change (<0.03%). There is no disclosure here of material operational or financial changes to Roku; the activity appears to be scheduled liquidity under an established plan rather than an event-driven sale.

Corporate Governance Expert

TL;DR: Compliance-focused filing showing adherence to Rule 144 and 10b5-1 procedures, with standard representations.

The form includes the required representations that the seller lacks undisclosed material information and documents the trading broker, sale dates, and consideration. The presence of prior 10b5-1 plan sales suggests use of pre-established instructions to effect liquidity. From a governance standpoint, the filing provides expected transparency but does not indicate any unusual insider behavior or governance concerns on its face.

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

Relationship to Issuer

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	25000	2424750.00	130251569	09/10/2025	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	09/10/2025	Exercise of Stock Options	Issuer			25000	09/10/2025	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
10b5-1 Sales for THE WOOD REVOCABLE TRUST U/A DTD 12/01/2017 1173 Coleman Avenue San Jose CA 95110	Common	09/09/2025	25000	2500000.00
10b5-1 Sales for THE WOOD REVOCABLE TRUST U/A DTD 12/01/2017 1173 Coleman Avenue San Jose CA 95110	Common	08/11/2025	25000	2060545.00
10b5-1 Sales for THE WOOD REVOCABLE TRUST U/A DTD 12/01/2017 1173 Coleman Avenue San Jose CA 95110	Common	07/10/2025	25000	2241062.50

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 securities sale does the Roku (ROKU) Form 144 propose?

The notice proposes sale of 25,000 common shares on 09/10/2025 via Morgan Stanley Smith Barney for an aggregate market value of $2,424,750.

How were the shares being sold acquired?

The 25,000 shares were acquired on 09/10/2025 by exercise of stock options and paid for in cash.

Has the filer sold Roku shares recently under a trading plan?

Yes. The filing lists three 10b5-1 plan sales by THE WOOD REVOCABLE TRUST: 07/10/2025 (25,000 shares, $2,241,062.50), 08/11/2025 (25,000 shares, $2,060,545.00), and 09/09/2025 (25,000 shares, $2,500,000.00).

What proportion of outstanding shares does this proposed sale represent?

The proposed 25,000-share sale is against 130,251,569 shares outstanding, representing approximately 0.019% of outstanding shares.

Does the filing disclose any undisclosed material information about Roku?

The filer certifies by signature that they are not aware of any material adverse information regarding the issuer that has not been publicly disclosed.