0001062993-24-000802.txt : 20240111 0001062993-24-000802.hdr.sgml : 20240111 20240111164841 ACCESSION NUMBER: 0001062993-24-000802 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240110 FILED AS OF DATE: 20240111 DATE AS OF CHANGE: 20240111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wood Anthony J. CENTRAL INDEX KEY: 0001716837 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 24529756 MAIL ADDRESS: STREET 1: C/O ROKU, INC. STREET 2: 150 WINCHESTER CIRCLE CITY: LOS GATOS STATE: CA ZIP: 95032 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: 408-446-1459 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 2024-01-10 0001428439 ROKU, INC ROKU 0001716837 Wood Anthony J. C/O ROKU, INC. 1173 COLEMAN AVE. SAN JOSE CA 95110 1 1 1 0 CEO and Chairman BOD 1 Class A Common Stock 2024-01-10 4 C 0 25000 A 25000 I Wood Revocable Trust Class A Common Stock 2024-01-10 4 S 0 25000 90.50 D 0 I Wood Revocable Trust Class A Common Stock 141221 D Class A Common Stock 42500 I Wood 2020 Irrevocable Trust Class A Common Stock 6849 I The Anthony J. Wood 2022 Annuity Trust V Class A Common Stock 54702 I The Anthony J. Wood 2022 Annuity Trust V-B Class A Common Stock 45298 I The Anthony J. Wood 2023 Annuity Trust V-B Class A Common Stock 41851 I The Anthony J. Wood 2023 Annuity Trust V Class B Common Stock 0 2024-01-10 4 C 0 25000 0 D Class A Common Stock 25000 17153111 I Wood Revocable Trust Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock. Shares sold pursuant to a Rule 10b5-1 Sales Plan. /s/ Renee Strandness, attorney-in-fact 2024-01-11