0001062993-24-005631.txt : 20240305 0001062993-24-005631.hdr.sgml : 20240305 20240305204052 ACCESSION NUMBER: 0001062993-24-005631 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240301 FILED AS OF DATE: 20240305 DATE AS OF CHANGE: 20240305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KAY STEPHEN H CENTRAL INDEX KEY: 0001247487 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 24724020 MAIL ADDRESS: STREET 1: 6922 HOLLYWOOD BLVD., 12TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90028 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ROKU, INC CENTRAL INDEX KEY: 0001428439 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] ORGANIZATION NAME: 06 Technology IRS NUMBER: 262087865 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1173 COLEMAN AVENUE CITY: SAN JOSE STATE: CA ZIP: 95110 BUSINESS PHONE: (408) 556-9040 MAIL ADDRESS: STREET 1: 1701 JUNCTION COURT, SUITE 100 STREET 2: ATTENTION: GENERAL COUNSEL CITY: SAN JOSE STATE: CA ZIP: 95112 FORMER COMPANY: FORMER CONFORMED NAME: ROKU INC DATE OF NAME CHANGE: 20080228 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2024-03-01 0001428439 ROKU, INC ROKU 0001247487 KAY STEPHEN H C/O ROKU, INC. 1173 COLEMAN AVE. SAN JOSE CA 95110 0 1 0 0 SVP General Counsel, Secretary 1 Class A Common Stock 2024-03-01 4 M 0 7734 0.0 A 88447 D Class A Common Stock 2024-03-01 4 F 0 2678 63.35 D 85769 D Class A Common Stock 2024-03-04 4 S 0 4310 63.20 D 81459 D Restricted Stock Unit 2024-03-01 4 M 0 2151 0.0 D Class A Common Stock 2151 10756 D Restricted Stock Unit 2024-03-01 4 M 0 4439 0.0 D Class A Common Stock 4439 44389 D Restricted Stock Unit 2024-03-01 4 M 0 1144 0 D Class A Common Stock 1144 3434 D 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 March 1, 2024. Shares sold pursuant to Mr. Kay'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 twelve substantially equal quarterly installments. The first installment vested on September 1, 2022. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023. This RSU vests in four substantially equal quarterly installments. The first installment vested on March 1, 2024. /s/ Renee Strandness, attorney-in-fact 2024-03-05