0000899243-18-008954.txt : 20180329 0000899243-18-008954.hdr.sgml : 20180329 20180329213349 ACCESSION NUMBER: 0000899243-18-008954 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180327 FILED AS OF DATE: 20180329 DATE AS OF CHANGE: 20180329 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goldfarb Andrew P CENTRAL INDEX KEY: 0001404740 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 18724685 MAIL ADDRESS: STREET 1: C/O GLOBESPAN CAPITAL MANAGEMENT, LLC STREET 2: ONE BOSTON PLACE, SUITE 2810 CITY: BOSTON STATE: MA ZIP: 02108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Globespan Capital Partners V LP CENTRAL INDEX KEY: 0001368858 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 18724686 BUSINESS ADDRESS: STREET 1: ONE BOSTON PLACE STE 2810 CITY: BOSTON STATE: MA ZIP: 02108 MAIL ADDRESS: STREET 1: ONE BOSTON PLACE STE 2810 CITY: BOSTON STATE: MA ZIP: 02108 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 doc4.xml FORM 4 SUBMISSION X0306 4 2018-03-27 0 0001428439 ROKU, INC ROKU 0001368858 Globespan Capital Partners V LP ONE BOSTON PLACE, SUITE 2810 BOSTON MA 02108 0 0 1 0 0001404740 Goldfarb Andrew P ONE BOSTON PLACE, SUITE 2810 BOSTON MA 02108 0 0 1 0 Class A Common Stock 2018-03-27 4 S 0 1013457 33.39 D 3668070 I See footnote Class A Common Stock 2018-03-27 4 S 0 117993 33.39 D 427061 I See footnote Class A Common Stock 2018-03-27 4 S 0 13150 34.18 D 3654920 I See footnote Class A Common Stock 2018-03-27 4 S 0 1531 34.18 D 425530 I See footnote Class A Common Stock 2018-03-28 4 S 0 135901 31.22 D 3519019 I See footnote Class A Common Stock 2018-03-28 4 S 0 15815 31.22 D 409715 I See footnote Class A Common Stock 2018-03-28 4 S 0 77509 32.40 D 3441510 I See footnote Class A Common Stock 2018-03-28 4 S 0 9024 32.40 D 400691 I See footnote Class A Common Stock 2018-03-28 4 S 0 28111 33.41 D 3413399 I See footnote Class A Common Stock 2018-03-28 4 S 0 3281 33.41 D 397410 I See footnote Class A Common Stock 2018-03-28 4 S 0 27193 34.00 D 3386206 I See footnote Class A Common Stock 2018-03-28 4 S 0 3166 34.00 D 394244 I See footnote Class A Common Stock 2018-03-29 4 S 0 75462 31.09 D 3310744 I See footnote Class A Common Stock 2018-03-29 4 S 0 8788 31.09 D 385456 I See footnote Class A Common Stock 2018-03-29 4 S 0 58895 32.51 D 3251849 I See footnote Class A Common Stock 2018-03-29 4 S 0 6855 32.51 D 378601 I See footnote The transaction was executed in multiple trades at prices ranging from $33.00 to $33.995. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. Held directly by Globespan Capital Partners V, L.P. ("GCP V"). Held directly by another fund affiliated with GCP V. The transaction was executed in multiple trades at prices ranging from $34.00 - $34.58. The transaction was executed in multiple trades at prices ranging from $31.00 - $31.93. The transaction was executed in multiple trades at prices ranging from $32.00 - $32.97. The transaction was executed in multiple trades at prices ranging from $33.04 - $33.98. The transaction was executed in multiple trades at prices ranging from $34.00 - $34.04. The transaction was executed in multiple trades at prices ranging from $31.00 - $31.80. The transaction was executed in multiple trades at prices ranging from $32.00 - $32.70. Globespan Capital Partners V, L.P., By: /s/ Andrew P. Goldfarb, Name: Andrew P. Goldfarb, Title: Executive Managing Director of the General Partner of the General Partner 2018-03-29 Andrew P. Goldfarb, /s/ Andrew P. Goldfarb 2018-03-29