Statement of Changes in Beneficial Ownership (4)
July 08 2021 - 7:49PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Guthrie Michael |
2. Issuer Name and Ticker or Trading Symbol
Roblox Corp
[
RBLX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
C/O ROBLOX CORPORATION, 970 PARK PLACE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/6/2021 |
(Street)
SAN MATEO, CA 94403
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Class A Common Stock | 7/6/2021 | | M | | 45000 | A | $0.53 | 135000 (1) | D | |
Class A Common Stock | 7/6/2021 | | S(2) | | 14696 | D | $85.8637 (3) | 120304 (1) | D | |
Class A Common Stock | 7/6/2021 | | S(2) | | 25004 | D | $86.7523 (4) | 95300 (1) | D | |
Class A Common Stock | 7/6/2021 | | S(2) | | 4800 | D | $87.8775 (5) | 90500 (1) | D | |
Class A Common Stock | 7/6/2021 | | S(2) | | 500 | D | $88.4943 (6) | 90000 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $0.53 | 7/6/2021 | | M | | | 45000 | (7) | 2/5/2028 | Class A Common Stock | 45000 | $0.00 | 2043530 | D | |
Explanation of Responses: |
(1) | A portion of these securities are Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock. |
(2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person on March 20, 2021. |
(3) | The price reported in column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $85.36 to $86.32, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(4) | The price reported in column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $86.36 to $87.32, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(5) | The price reported in column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $87.37 to $88.33, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(6) | The price reported in column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $88.38 to $88.60, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(7) | 1/4th of the shares subject to the option vested on February 5, 2019, and 1/48th of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Guthrie Michael C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO, CA 94403 |
|
| Chief Financial Officer |
|
Signatures
|
/s/ Mark Reinstra Attorney-in-Fact for Michael J. Guthrie | | 7/8/2021 |
**Signature of Reporting Person | Date |
Roblox (NYSE:RBLX)
Historical Stock Chart
From Mar 2024 to Apr 2024
Roblox (NYSE:RBLX)
Historical Stock Chart
From Apr 2023 to Apr 2024