12/09/2024 | Press release | Distributed by Public on 12/09/2024 16:36
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $0.53 | 12/05/2024 | M | 333,334 | (10) | 10/19/2027 | Class A Common Stock | 333,334 | $ 0 | 880,052 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Baszucki David C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO, CA 94403 |
X | X | President & CEO |
/s/ Mark Reinstra Attorney-in-Fact for David Baszucki | 12/09/2024 |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person on November 29, 2023. |
(2) | 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. |
(3) | The price reported in column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $57.00 to $57.72, 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 shares reported in this transaction represent a gift to a charitable organization. |
(5) | These shares are held directly by The Freedom Revocable Trust dated February 28, 2017 as amended, and for which the reporting person serves as trustee. |
(6) | Represents a transfer of shares by the Freedom Revocable Trust dated February 28, 2017 as amended to The Baszucki Family Foundation. |
(7) | These shares are held by The Baszucki Family Foundation. The Reporting Person may be deemed to have beneficial ownership of the securities held by the Foundation. |
(8) | These shares are held by the 2020 David Baszucki Gift Trust dtd 4/3/2020 for which the Bessemer Trust of Delaware, N.A. serves as trustee. The Reporting Person may be deemed to have beneficial ownership of the securities held by the Gift Trust. |
(9) | These shares are held by the 2020 Jan Baszucki Gift Trust dtd 4/3/2020 of which the Bessemer Trust Company of Delaware, N.A. serves as trustee. The spouse of the Reporting Person may be deemed to have beneficial ownership of the securities held by the Gift Trust. |
(10) | 1/48th of the shares subject to the option vested on February 1, 2018, 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. |