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