0001716837-18-000078.txt : 20180927 0001716837-18-000078.hdr.sgml : 20180927 20180927213857 ACCESSION NUMBER: 0001716837-18-000078 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180925 FILED AS OF DATE: 20180927 DATE AS OF CHANGE: 20180927 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Chas CENTRAL INDEX KEY: 0001716838 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 181092359 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] IRS NUMBER: 262087865 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12980 SARATOGA AVE. STREET 2: SUITE D CITY: SARATOGA STATE: CA ZIP: 95070 BUSINESS PHONE: 408-446-1459 MAIL ADDRESS: STREET 1: 12980 SARATOGA AVE. STREET 2: SUITE D CITY: SARATOGA STATE: CA ZIP: 95070 FORMER COMPANY: FORMER CONFORMED NAME: ROKU INC DATE OF NAME CHANGE: 20080228 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-09-25 0001428439 ROKU, INC ROKU 0001716838 Smith Chas C/O ROKU, INC. 150 WINCHESTER CIRCLE LOS GATOS CA 95032 0 1 0 0 GM, Sr. VP Roku TV & Players Class A Common Stock 2018-09-25 4 C 0 13409 5.64 A 13409 D Class A Common Stock 2018-09-25 4 S 0 13409 72.6397 D 0 D Class A Common Stock 2018-09-25 4 C 0 62500 5.64 A 62500 D Class A Common Stock 2018-09-25 4 S 0 62500 72.6397 D 0 D Class A Common Stock 2018-09-25 4 C 0 6902 5.64 A 6902 D Class A Common Stock 2018-09-25 4 S 0 6902 72.6397 D 0 D Employee Stock Option (right to buy) 5.64 2018-09-25 4 M 0 13409 5.64 D 2025-03-22 Class B Common Stock 13409 31139 D Class B Common Stock 5.64 2018-09-25 4 M 0 13409 5.64 A 2025-03-22 Class A Common Stock 13409 13409 D Class B Common Stock 5.64 2018-09-25 4 C 0 13409 5.64 D 2025-03-22 Class A Common Stock 13409 0 D Employee Stock Option (right to buy) 5.64 2018-09-25 4 M 0 62500 5.64 D 2025-03-22 Class B Common Stock 62500 0 D Class B Common Stock 5.64 2018-09-25 4 M 0 62500 5.64 A 2025-03-22 Class A Common Stock 62500 62500 D Class B Common Stock 5.64 2018-09-25 4 C 0 62500 5.64 D 2025-03-22 Class A Common Stock 62500 0 D Employee Stock Option (right to buy) 5.64 2018-09-25 4 M 0 6902 5.64 D 2026-05-16 Class B Common Stock 6902 52599 D Class B Common Stock 5.64 2018-09-25 4 M 0 6902 5.64 A 2026-05-16 Class A Common Stock 6902 6902 D Class B Common Stock 5.64 2018-09-25 4 C 0 6902 5.64 D 2026-05-16 Class A Common Stock 6902 0 D Shares sold pursuant to Mr. Smith's 10b5-1 plan dated June 8, 2018. 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 3) (footnote 2 continued), (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. Option granted March 23, 2015. Vest base date 3/23/15, vests monthly over 48 months with final vest on 3/23/2019. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.68 to $73.67 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities adn Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Option granted March 23, 2015. Vest base date 9/1/16, vests monthly over 24 months with final vest on 9/1/18. Option granted November 8, 2016. Vest base date 5/17/16, vests monthly over 48 months with final vest on 5/17/2020. /s/ David Oh, attorney-in-fact 2018-09-27