SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Nam Hodong

(Last) (First) (Middle)
2882 SAND HILL ROAD, SUITE 100

(Street)
MENLO PARK CA 94025

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Roblox Corp [ RBLX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/12/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 03/12/2021 L 36 A $69.51 36 I See Footnotes(1)(2)(3)
Class A Common Stock 03/12/2021 L 2 A $69.69 2 I See Footnotes(2)(3)(4)
Class A Common Stock 03/12/2021 L 34 A $69.61 36 I See Footnotes(2)(3)(4)
Class A Common Stock 04/05/2021 G 45,000 D $0.00 1,161,194(5) I See Footnotes(6)
Class A Common Stock 05/27/2021 G 50,000 D $0.00 1,111,194 I See Footnotes(6)
Class A Common Stock 08/12/2021 G 47,000 D $0.00 1,064,194 I See Footnotes(6)
Class A Common Stock 147,636 I See Footnotes(7)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. These shares are held directly by a trust for the benefit of a minor child of the Reporting Person, for which the Reporting Person serves as co-trustee.
2. This Form 4 is being filed as promptly as practicable following a determination that the shares purchased for each of the trusts for the minor children may be attributable to the Reporting Person for purposes of Section 16 of the Securities Exchange Act of 1934. For purposes of the short-swing profit recovery provisions of Section 16(b) of the Securities Exchange Act of 1934, the indirect acquisition of these shares may be matchable with a sale of 25,000 shares by Altos Ventures Management Inc. (AVM) on August 31, 2021. The Reporting Person has paid to the Issuer an aggregate of $907.08 which represents the full amount of the profit realized in connection with the short-swing transactions by the childrens' trust accounts, without giving effect to direct transaction costs.
3. The Reporting Person serves as a member of the Board of Directors of AVM, and may be deemed to exercise voting and investment control over the shares held by AVM. The Reporting Person disclaims beneficial ownership of the shares held by AVM except to the extent of his pecuniary interest therein.
4. These shares are held directly by a trust for the benefit of a minor child of the Reporting Person, for which the Reporting Person serves as a co-trustee.
5. The shares held by the Nam-MacGill 2006 Family Trust as reported in the Reporting Person's prior Section 16 reports, inadvertently included 55,499 shares that are held by the Nam-MacGill Investments, LLC - Sub Fund No.1. The holdings reported in this Form 4 properly reflect the indirect ownership of the shares of the Reporting Person.
6. These shares are held directly by the Nam-MacGill 2006 Family Trust for which the Reporting Person serves as trustee. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
7. These shares are held directly by the Nam-MacGill Investments, LLC - Sub Fund No. 1 for which the Reporting Person serves as Managing Member. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Remarks:
/s/Hodong Nam 10/26/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.