0001716837-19-000007.txt : 20190104
0001716837-19-000007.hdr.sgml : 20190104
20190104184818
ACCESSION NUMBER: 0001716837-19-000007
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190102
FILED AS OF DATE: 20190104
DATE AS OF CHANGE: 20190104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rosenberg Scott A.
CENTRAL INDEX KEY: 0001716857
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38211
FILM NUMBER: 19511718
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
2019-01-02
0001428439
ROKU, INC
ROKU
0001716857
Rosenberg Scott A.
150 WINCHESTER CIRCLE
LOS GATOS
CA
95032
0
1
0
0
GM, Sr. VP Platform Business
Class A Common Stock
2019-01-02
4
C
0
25000
8.82
A
25000
D
Class A Common Stock
2019-01-02
4
S
0
25000
29.82
D
0
D
Employee Stock Option (right to buy)
8.82
2019-01-02
4
M
0
25000
8.82
D
2017-09-15
2027-08-14
Class B Common Stock
25000
121666
D
Class B Common Stock
8.82
2019-01-02
4
M
0
25000
8.82
A
2027-08-14
Class A Common Stock
25000
25000
D
Class B Common Stock
8.82
2019-01-02
4
C
0
25000
8.82
D
2027-08-14
Class A Common Stock
25000
0
D
Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan dated November 20, 2017.
Granted August 15, 2017; 1/48 of the Option vests in equal monthly installments from the grant date.
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.
/s/ Stephen Kay, attorney-in-fact
2019-01-04