0001062993-23-012996.txt : 20230605 0001062993-23-012996.hdr.sgml : 20230605 20230605202115 ACCESSION NUMBER: 0001062993-23-012996 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230601 FILED AS OF DATE: 20230605 DATE AS OF CHANGE: 20230605 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Banks Matthew C. CENTRAL INDEX KEY: 0001959033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 23994647 MAIL ADDRESS: STREET 1: 1155 COLEMAN AVE CITY: SAN JOSE STATE: CA ZIP: 95110 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 X0407 4 2023-06-01 0001428439 ROKU, INC ROKU 0001959033 Banks Matthew C. C/O ROKU, INC. 1155 COLEMAN AVE. SAN JOSE CA 95110 0 1 0 0 VP, Corp Controller & CAO 0 Class A Common Stock 2023-06-01 4 M 0 3751 0.0 A 8274 D Class A Common Stock 2023-06-02 4 S 0 1886 60.06 D 6388 D Class A Common Stock 2023-06-05 4 S 0 1614 60.42 D 4774 D Restricted Stock Unit 2023-06-01 4 M 0 359 0.0 D Class A Common Stock 359 2516 D Restricted Stock Unit 2023-06-01 4 M 0 746 0.0 D Class A Common Stock 746 5231 D Restricted Stock Unit 2023-06-01 4 M 0 149 0.0 D Class A Common Stock 149 1484 D Restricted Stock Unit 2023-06-01 4 M 0 2497 0.0 D Class A Common Stock 2497 17481 D These shares were sold by the Issuer in order to meet the tax withholding obligations of the reporting person in connection with the vesting of certain RSU awards on June 1, 2023. Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. This RSU vests in sixteen substantially equal quarterly installments. The first installment vested on June 1, 2021. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on June 1, 2022. This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2022. This RSU vests in sixteen substantially equal quarterly installments, with two such installments vesting on June 1, 2023. /s/ Renee Strandness, attorney-in-fact 2023-06-05