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  4. [Form 4] ROKU, INC Insider Trading Activity

Roku officer Banks sells 546 shares at $155.64

Roku’s chief accounting officer reported RSU vesting, tax share withholding, and a small 10b5-1 plan share sale.

Filing Impact
(Moderate)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

ROKU, INC (ROKU) reported that Matthew C. Banks, its VP and Chief Accounting Officer, had 4,066 Restricted Stock Units convert into an equal number of Class A Common shares on September 1, 2026. That day, 2,017 shares were withheld to satisfy income tax obligations, and on September 2, 2026, 546 shares were sold at $155.64 per share pursuant to a Rule 10b5-1 trading plan.

Positive

  • None.

Negative

  • None.
Insider Banks Matthew C.
Role VP, CAO
Sold 546 shs ($85K)
Approx. gross sale proceeds $85K
Type Security Shares Price Value
Sale Class A Common Stock F2 546 $155.64 $85K
Exercise Restricted Stock Unit F3, F4 1,248 $0.00 $0.00
Exercise Restricted Stock Unit F3, F5 828 $0.00 $0.00
Exercise Restricted Stock Unit F3, F6 1,202 $0.00 $0.00
Exercise Restricted Stock Unit F3, F7 788 $0.00 $0.00
Exercise Class A Common Stock 4,066 $0.00 $0.00
Tax Withholding Class A Common Stock F1 2,017 $155.53 $314K
Holdings After Transaction: Restricted Stock Unit — 12,360 contracts (Direct); Class A Common Stock — 8,122 shares (Direct)
Footnotes (7)
  1. 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.
  2. F2. Shares sold pursuant to Mr. Banks' 10b5-1 plan.
  3. F3. Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.
  4. F4. This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2023.
  5. F5. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023.
  6. F6. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2024.
  7. F7. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2025 (or the next business day).
Shares sold 546 shares Class A Common Stock sold on September 2, 2026
Sale price per share $155.64 per share Price for 546 shares sold on September 2, 2026
Shares acquired via RSU conversion 4,066 shares Class A Common Stock received from RSU vesting on September 1, 2026
Shares withheld for taxes 2,017 shares Withheld to satisfy income tax obligations on September 1, 2026
RSU tranche 1 converted 1,248 units Restricted Stock Units converting into common shares on September 1, 2026
RSU tranche 2 converted 828 units Restricted Stock Units converting into common shares on September 1, 2026
RSU tranche 3 converted 1,202 units Restricted Stock Units converting into common shares on September 1, 2026
RSU tranche 4 converted 788 units Restricted Stock Units converting into common shares on September 1, 2026
Restricted Stock Unit financial
"The security title is listed as Restricted Stock Unit for several transactions"
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. Banks' 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
"withheld by the Issuer to satisfy income tax withholding and remittance obligations"
quarterly installments financial
"This RSU vests in fifteen substantially equal quarterly installments"

FAQ

What did Roku (ROKU) insider Matthew C. Banks report in this Form 4?
He reported RSUs converting into 4,066 shares of Class A Common Stock on September 1, 2026, tax withholding of 2,017 shares, and a sale of 546 shares on September 2, 2026 under a Rule 10b5-1 plan.

How many Roku (ROKU) shares did the insider sell and at what price?
On September 2, 2026, he sold 546 shares of Roku Class A Common Stock at a price of $155.64 per share, as reported in the Form 4.

How many Roku (ROKU) shares were acquired through RSU vesting in this filing?
A total of 4,066 shares of Roku Class A Common Stock were acquired on September 1, 2026 when Restricted Stock Units vested and converted into shares on a one-for-one basis.

What portion of the vested Roku (ROKU) shares was withheld for taxes?
Of the vested shares, 2,017 shares were withheld by Roku to satisfy income tax withholding and remittance obligations in connection with RSU vesting on September 1, 2026.

Were the Roku (ROKU) insider share sales made under a Rule 10b5-1 plan?
Yes. The Form 4 indicates the Rule 10b5-1 checkbox is affirmed, and a footnote states the 546 shares sold on September 2, 2026 were sold pursuant to Matthew C. Banks’ Rule 10b5-1 trading plan.

What is the relationship between the RSUs and Roku (ROKU) common stock in this filing?
Each Restricted Stock Unit represents a contingent right to receive one share of Roku Class A Common Stock. Multiple RSU awards vest in substantially equal quarterly installments, leading to share delivery as reported here.

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SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Banks Matthew C.
(Last)(First)(Middle)
C/O ROKU, INC.
1173 COLEMAN AVE.
(Street)
SAN JOSE CALIFORNIA 95110
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ROKU, INC [ ROKU ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
VP, CAO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
09/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Class A Common Stock09/01/2026M4,066A$0.010,685D
Class A Common Stock09/01/2026F2,017(1)D$155.538,668D
Class A Common Stock09/02/2026S546(2)D$155.648,122D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Unit(3)09/01/2026M1,248 (4) (4)Class A Common Stock1,248$0.01,249D
Restricted Stock Unit(3)09/01/2026M828 (5) (5)Class A Common Stock828$0.00D
Restricted Stock Unit(3)09/01/2026M1,202 (6) (6)Class A Common Stock1,202$0.04,808D
Restricted Stock Unit(3)09/01/2026M788 (7) (7)Class A Common Stock788$0.06,303D
Explanation of Responses:
1. 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.
2. Shares sold pursuant to Mr. Banks' 10b5-1 plan.
3. Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.
4. This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2023.
5. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023.
6. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2024.
7. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2025 (or the next business day).
/s/ Renee Strandness, attorney-in-fact09/03/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR