0001062993-23-015727.txt : 20230802 0001062993-23-015727.hdr.sgml : 20230802 20230802181902 ACCESSION NUMBER: 0001062993-23-015727 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230731 FILED AS OF DATE: 20230802 DATE AS OF CHANGE: 20230802 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KAY STEPHEN H CENTRAL INDEX KEY: 0001247487 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 231137399 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] IRS NUMBER: 262087865 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1155 COLEMAN AVENUE CITY: SAN JOSE STATE: CA ZIP: 95110 BUSINESS PHONE: 408-446-1459 MAIL ADDRESS: STREET 1: 1155 COLEMAN AVENUE CITY: SAN JOSE STATE: CA ZIP: 95110 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 2023-07-31 0001428439 ROKU, INC ROKU 0001247487 KAY STEPHEN H C/O ROKU, INC. 1155 COLEMAN AVE. SAN JOSE CA 95110 0 1 0 0 SVP General Counsel, Secretary 1 Class A Common Stock 2023-07-31 4 C 0 3216 2.94 A 81743 D Class A Common Stock 2023-07-31 4 C 0 40 2.94 A 81783 D Class A Common Stock 2023-07-31 4 C 0 2436 5.64 A 84219 D Class A Common Stock 2023-07-31 4 S 0 5692 91.68 D 78527 D Employee Stock Option (Right to Buy) 2.94 2023-07-31 4 M 0 3216 2.94 D 2024-01-23 Class B Common Stock 3216 0 D Class B Common Stock 2.94 2023-07-31 4 M 0 3216 2.94 A 2024-01-23 Class A Common Stock 3216 3216 D Class B Common Stock 0 2023-07-31 4 C 0 3216 0 D Class A Common Stock 3216 0 D Employee Stock Option (Right to Buy) 2.94 2023-07-31 4 M 0 40 2.94 D 2024-01-23 Class B Common Stock 40 0 D Class B Common Stock 2.94 2023-07-31 4 M 0 40 2.94 A 2024-01-23 Class A Common Stock 40 40 D Class B Common Stock 0 2023-07-31 4 C 0 40 0 D Class A Common Stock 40 0 D Employee Stock Option (Right to Buy) 5.64 2023-07-31 4 M 0 2436 5.64 D 2025-03-22 Class B Common Stock 2436 0 D Class B Common Stock 5.64 2023-07-31 4 M 0 2436 5.64 A 2025-03-22 Class A Common Stock 2436 2436 D Class B Common Stock 0 2023-07-31 4 C 0 2436 0 D Class A Common Stock 2436 0 D Shares sold pursuant to Mr. Kay's 10b5-1 plan. This stock option is fully vested. 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/Renee Strandness, attorney-in-fact 2023-08-02