Roku (NASDAQ: ROKU) SVP trades stock under 10b5-1 plan

Filing Impact

(Very High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

ROKU, INC senior vice president and general counsel Christopher T. Handman reported a mix of equity compensation events and a stock sale. On June 1, 2026, he exercised 11,898 Restricted Stock Units, receiving the same number of Class A shares. Of these, 5,900 shares were withheld by Roku to cover income tax obligations tied to the vesting. On June 2, 2026, he completed an open-market sale of 2,999 Class A shares at $127.26 per share under a pre-arranged Rule 10b5-1 trading plan. Following these transactions, Handman directly holds 5,998 Class A shares and maintains 71,390 RSUs outstanding.

Insider Trade Summary 10b5-1

Net Seller: 2,999 shares ($381,653)

Net Sell 4 txns

Insider Handman Christopher T.

Role SVP & General Counsel

Sold 2,999 shs ($382K)

Type	Security	Shares	Price	Value
Sale	Class A Common Stock	2,999	$127.26	$382K
Exercise	Restricted Stock Unit	11,898	$0.00	--
Exercise	Class A Common Stock	11,898	$0.00	--
Tax Withholding	Class A Common Stock	5,900	$129.03	$761K

Holdings After Transaction: Class A Common Stock — 5,998 shares (Direct, null); Restricted Stock Unit — 71,390 shares (Direct, null)

Footnotes (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 June 1, 2026. Shares sold pursuant to Mr. Handman's 10b5-1 plan. Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. This RSU vests in eight substantially equal quarterly installments. The first installment vested on March 1, 2026 (or the next business day).

Key Figures

Open-market sale: 2,999 shares at $127.26 RSUs exercised: 11,898 shares Tax withholding shares: 5,900 shares +2 more

5 metrics

Open-market sale 2,999 shares at $127.26 Class A Common Stock sale on June 2, 2026

RSUs exercised 11,898 shares RSU conversion to Class A shares on June 1, 2026

Tax withholding shares 5,900 shares Shares withheld to cover income tax obligations on June 1, 2026

Shares held after sale 5,998 shares Direct Class A holdings following June 2, 2026 transactions

Outstanding RSUs 71,390 units Restricted Stock Units remaining after June 1, 2026 events

Key Terms

Restricted Stock Unit, Rule 10b5-1 plan, open-market sale, tax-withholding disposition, +1 more

5 terms

Restricted Stock Unit financial

"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"

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. Handman'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.

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

tax-withholding disposition financial

"transaction_action": "tax-withholding disposition""

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

derivative exercise/conversion financial

"transaction_action": "derivative exercise/conversion""

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Form 4 Insider Transactions: What Each Field Means →

06/03/2026 - 06:24 PM

SEC Form 4

FORM 4

UNITED 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).

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^*

Handman Christopher T.

(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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	SVP & General Counsel

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock	06/01/2026		M		11,898	A	$0.0	14,897	D
Class A Common Stock	06/01/2026		F		5,900⁽¹⁾	D	$129.03	8,997	D
Class A Common Stock	06/02/2026		S		2,999⁽²⁾	D	$127.26	5,998	D

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Unit	⁽³⁾	06/01/2026		M			11,898	⁽⁴⁾	⁽⁴⁾	Class A Common Stock	11,898	$0.0	71,390	D

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 June 1, 2026.

2. Shares sold pursuant to Mr. Handman's 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 eight substantially equal quarterly installments. The first installment vested on March 1, 2026 (or the next business day).

	/s/ Renee Strandness, attorney-in-fact	06/03/2026
	** Signature of Reporting Person	Date
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

FAQ

What insider transactions did Roku (ROKU) SVP Christopher Handman report?

Christopher Handman reported exercising 11,898 RSUs into Class A shares, with 5,900 shares withheld for taxes, and selling 2,999 shares in an open-market transaction. These moves reflect routine equity compensation and a planned sale.

At what price did Roku (ROKU) SVP Christopher Handman sell shares?

Christopher Handman sold 2,999 shares of Roku Class A Common Stock at $127.26 per share. The transaction was described as an open-market sale executed pursuant to a pre-arranged Rule 10b5-1 trading plan disclosed in the filing footnotes.

How many Roku (ROKU) shares does Christopher Handman hold after these transactions?

After the reported transactions, Christopher Handman directly holds 5,998 shares of Roku Class A Common Stock. He also has 71,390 Restricted Stock Units outstanding, which represent rights to receive additional shares upon future vesting events.

Were Christopher Handman’s Roku (ROKU) stock sales under a Rule 10b5-1 plan?

Yes. The filing footnotes state that the 2,999 Roku shares sold on June 2, 2026, were transacted under Mr. Handman’s Rule 10b5-1 trading plan. Such plans schedule trades in advance, indicating a pre-planned, rather than opportunistic, sale.

Why were 5,900 Roku (ROKU) shares withheld in Christopher Handman’s Form 4?

The 5,900 shares were withheld by Roku to satisfy income tax withholding and remittance obligations related to the vesting of certain RSU awards on June 1, 2026. This tax-withholding disposition is mechanical and not an open-market stock sale.

What does each Roku (ROKU) RSU reported for Christopher Handman represent?

Each Restricted Stock Unit reported for Christopher Handman represents a contingent right to receive one share of Roku Class A Common Stock. The filing notes that one RSU award vests in eight substantially equal quarterly installments beginning March 1, 2026.