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