0001716837-19-000024.txt : 20190220
0001716837-19-000024.hdr.sgml : 20190220
20190220181851
ACCESSION NUMBER: 0001716837-19-000024
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190215
FILED AS OF DATE: 20190220
DATE AS OF CHANGE: 20190220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hastings Jeff
CENTRAL INDEX KEY: 0001336253
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38211
FILM NUMBER: 19619870
MAIL ADDRESS:
STREET 1: AVID TECHNOLOGY, INC.
STREET 2: ONE PARK WEST
CITY: TEWKSBURY
STATE: MA
ZIP: 01876
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: 150 WINCHESTER CIRCLE
CITY: LOS GATOS
STATE: CA
ZIP: 95032
BUSINESS PHONE: 408-446-1459
MAIL ADDRESS:
STREET 1: 150 WINCHESTER CIRCLE
CITY: LOS GATOS
STATE: CA
ZIP: 95032
FORMER COMPANY:
FORMER CONFORMED NAME: ROKU INC
DATE OF NAME CHANGE: 20080228
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2019-02-15
0001428439
ROKU, INC
ROKU
0001336253
Hastings Jeff
C/O ROKU, INC.
150 WINCHESTER CIRCLE
LOS GATOS
CA
95032
1
0
0
0
Class A Common Stock
2019-02-15
4
C
0
6000
8.82
A
6000
D
Class A Common Stock
2019-02-15
4
S
0
6000
51.73
D
0
D
Stock Option (right to buy)
8.82
2019-02-15
4
M
0
6000
8.82
D
2027-08-14
Class B Common Stock
6000
4833
D
Class B Common Stock
8.82
2019-02-15
4
M
0
6000
8.82
A
2027-08-14
Class A Common Stock
6000
6000
D
Class B Common Stock
8.82
2019-02-15
4
C
0
6000
8.82
D
2027-08-14
Class A Common Stock
6000
0
D
Shares sold pursuant to Mr. Hasting's 10b5-1 plan.
1/12 of the Option vests in equal monthly installments one month from 8/5/2017. The shares of this option are early exercisable, subject to the Issuer's right to repurchase.
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
2019-02-20