0001062993-23-021152.txt : 20231117 0001062993-23-021152.hdr.sgml : 20231117 20231117182742 ACCESSION NUMBER: 0001062993-23-021152 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231115 FILED AS OF DATE: 20231117 DATE AS OF CHANGE: 20231117 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: 231420329 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: 1173 COLEMAN AVENUE CITY: SAN JOSE STATE: CA ZIP: 95110 BUSINESS PHONE: 408-446-1459 MAIL ADDRESS: STREET 1: 1701 JUNCTION COURT, SUITE 100 STREET 2: ATTENTION: GENERAL COUNSEL CITY: SAN JOSE STATE: CA ZIP: 95112 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 2023-11-15 0001428439 ROKU, INC ROKU 0001959033 Banks Matthew C. C/O ROKU, INC. 1173 COLEMAN AVE. SAN JOSE CA 95110 0 1 0 0 VP, Corp Controller & CAO 1 Class A Common Stock 2023-11-15 4 M 0 16711 0.0 A 19811 D Class A Common Stock 2023-11-16 4 S 0 8480 89.03 D 11331 D Class A Common Stock 2023-11-17 4 S 0 6794 89.19 D 4537 D Restricted Stock Unit 2023-11-15 4 M 0 360 0.0 D Class A Common Stock 360 1797 D Restricted Stock Unit 2023-11-15 4 M 0 749 0.0 D Class A Common Stock 749 3736 D Restricted Stock Unit 2023-11-15 4 M 0 149 0.0 D Class A Common Stock 149 1187 D Restricted Stock Unit 2023-11-15 4 M 0 13378 0.0 D Class A Common Stock 13378 13378 D Restricted Stock Unit 2023-11-15 4 M 0 1248 0.0 D Class A Common Stock 1248 14984 D Restricted Stock Unit 2023-11-15 4 M 0 827 0 D Class A Common Stock 827 9106 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 November 15, 2023. Shares sold pursuant to Mr. Banks's 10b5-1 plan. 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 two equal annual installments. The first installment vested on November 15, 2023. This RSU vests in fifteen substantially equal quarterly installments. The first installment vested on June 1, 2023. This RSU vests in twelve substantially equal quarterly installments. The first installment vested on November 15, 2023. /s/ Renee Strandness, attorney-in-fact 2023-11-17