Roku officer Ozgen sells 3,410 shares at $155.64
Roku executive Mustafa Ozgen had RSUs vest into shares, with some withheld for taxes and 3,410 shares sold under a Rule 10b5-1 plan.
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Form Type
4
Rhea-AI Filing Summary
ROKU, INC (ROKU) reported that officer Mustafa Ozgen, President, Devices, Product and Technology, had Restricted Stock Units convert into 16,151 shares of Class A Common Stock on September 1, 2026. Of these, 6,357 shares were withheld to satisfy income tax obligations, and 3,410 shares were sold on September 2, 2026 at $155.64 per share under a Rule 10b5-1 trading plan.
Insider Trade Summary 10b5-1
Exercise and sale activity reported; no spread calculated
Exercise and Sale
6 txns
Insider
Ozgen Mustafa
Role
Pres, Devices, Prod, and Tech
Sold
3,410 shs ($531K)
Approx. gross sale proceeds
$531K
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Sale | Class A Common Stock F2 | 3,410 | $155.64 | $531K |
| Exercise | Restricted Stock Unit F3, F4 | 4,910 | $0.00 | $0.00 |
| Exercise | Restricted Stock Unit F3, F5 | 6,790 | $0.00 | $0.00 |
| Exercise | Restricted Stock Unit F3, F6 | 4,451 | $0.00 | $0.00 |
| Exercise | Class A Common Stock | 16,151 | $0.00 | $0.00 |
| Tax Withholding | Class A Common Stock F1 | 6,357 | $155.53 | $989K |
Holdings After Transaction:
Restricted Stock Unit — 62,763 contracts (Direct);
Class A Common Stock — 25,569 shares (Direct)
Footnotes (6)
- F1. Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the vesting of certain RSU awards on September 1, 2026.
- F2. Shares sold pursuant to Mr. Ozgen's 10b5-1 plan.
- F3. Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.
- F4. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023.
- F5. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2024.
- F6. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2025 (or the next business day).
Key Figures
Shares sold: 3,410 shares
Sale price per share: $155.64 per share
Shares from RSU vesting/conversion: 16,151 shares
+5 more
8 metrics
Shares sold
3,410 shares
Class A Common Stock sale on September 2, 2026
Sale price per share
$155.64 per share
Open-market or private sale on September 2, 2026
Shares from RSU vesting/conversion
16,151 shares
Class A Common Stock received from RSUs on September 1, 2026
Shares withheld for taxes
6,357 shares
Withheld to satisfy income tax obligations on September 1, 2026
RSU grant 1 size
4,910 units
RSU representing 4,910 shares of Class A Common Stock
RSU grant 2 size
6,790 units
RSU representing 6,790 shares of Class A Common Stock
RSU grant 3 size
4,451 units
RSU representing 4,451 shares of Class A Common Stock
Tax-withholding reference price
$155.53 per share
Price used for 6,357 shares withheld for income tax obligations
Key Terms
Restricted Stock Unit, Rule 10b5-1 plan, income tax withholding, contingent right
4 terms
Restricted Stock Unit financial
"The security titled Restricted Stock Unit represents a contingent right"
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
Rule 10b5-1 plan regulatory
"Shares sold pursuant to Mr. Ozgen's 10b5-1 plan"
A Rule 10b5-1 plan is a prearranged, written schedule that lets corporate insiders buy or sell company stock at set times or amounts, even if they later learn material nonpublic information. Think of it like setting an automatic thermostat for trades: it creates a clear record that trades were planned in advance, reducing the risk of insider-trading accusations and helping investors trust that insider transactions are routine rather than based on secret information.
income tax withholding financial
"Shares have been withheld by the Issuer to satisfy income tax withholding"
contingent right financial
"Each RSU represents a contingent right to receive one share"
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What insider transactions did ROKU report for Mustafa Ozgen in this Form 4?
ROKU reported that 16,151 RSU-based shares of Class A Common Stock vested for Mustafa Ozgen on September 1, 2026. On September 2, 2026, he sold 3,410 shares at $155.64 per share, and 6,357 shares were withheld to cover income tax obligations.
What RSU activity did ROKU disclose for Mustafa Ozgen?
ROKU disclosed that RSUs representing 16,151 shares of Class A Common Stock vested or were converted on September 1, 2026. These came from RSU awards of 4,910, 6,790, and 4,451 units, each RSU representing a contingent right to one share.
Were any of Mustafa Ozgen’s ROKU transactions under a Rule 10b5-1 plan?
Yes. The Form 4 indicates the Rule 10b5-1 checkbox is affirmed, and a footnote states that the 3,410-share sale of Class A Common Stock on September 2, 2026 was made pursuant to Mustafa Ozgen’s Rule 10b5-1 plan.
What do the RSU footnotes in the ROKU Form 4 explain?
The footnotes explain that each RSU represents a contingent right to receive one share of Class A Common Stock and describe separate RSU grants that vest in twelve substantially equal quarterly installments, with first vesting dates in November 2023, 2024, and 2025.
AI-generated analysis. How Rhea-AI works. Not financial advice.
