X0306 4 2018-05-31 0001428439 ROKU, INC ROKU 0001247487 KAY STEPHEN H C/O ROKU, INC. 150 WINCHESTER CIRCLE LOS GATOS CA 95032 0 1 0 0 SVP General Counsel, Secretary Class A Common Stock 2018-05-31 4 C 0 34013 2.94 A 34013 D Class A Common Stock 2018-05-31 4 C 0 1951 5.64 A 35964 D Class A Common Stock 2018-05-31 4 C 0 14036 5.64 A 50000 D Class A Common Stock 2018-06-01 4 C 0 30000 2.94 A 30000 D Class A Common Stock 2018-06-01 4 S 0 30000 36.65 D 0 D Class A Common Stock 2018-06-01 4 C 0 6000 2.94 A 6000 D Class A Common Stock 2018-06-01 4 S 0 6000 36.50 D 0 D Employee Stock Option (Right to Buy) 2.94 2018-05-31 4 M 0 34013 2.94 D 2024-01-23 Class B Common Stock 34013 0 D Class B Common Stock 2.94 2018-05-31 4 M 0 34013 2.94 A 2024-01-23 Class A Common Stock 34013 34013 D Class B Common Stock 2.94 2018-05-31 4 C 0 34013 2.94 D 2024-01-23 Class A Common Stock 34013 0 D Employee Stock Option (Right to Buy) 5.64 2018-05-31 4 M 0 1951 5.64 D 2026-11-08 Class B Common Stock 1951 15779 D Class B Common Stock 5.64 2018-05-31 4 M 0 1951 5.64 A 2026-11-08 Class A Common Stock 1951 1951 D Class B Common Stock 5.64 2018-05-31 4 C 0 1951 5.64 D 2026-11-08 Class A Common Stock 1951 0 D Employee Stock Option (Right to Buy) 5.64 2018-05-31 4 M 0 14036 5.64 D 2025-03-22 Class B Common Stock 14036 3694 D Class B Common Stock 5.64 2018-05-31 4 M 0 14036 5.64 A 2025-03-22 Class A Common Stock 14036 14036 D Class B Common Stock 5.64 2018-05-31 4 C 0 14036 5.64 D 2025-03-22 Class A Common Stock 14036 0 D Employee Stock Option (Right to Buy) 2.94 2018-06-01 4 M 0 30000 2.94 D 2024-01-23 Class B Common Stock 30000 243216 D Class B Common Stock 2.94 2018-06-01 4 M 0 30000 2.94 A 2024-01-23 Class A Common Stock 30000 30000 D Class B Common Stock 2.94 2018-06-01 4 C 0 30000 2.94 D 2024-01-23 Class A Common Stock 30000 0 D Employee Stock Option (Right to Buy) 2.94 2018-06-01 4 M 0 6000 2.94 D 2024-01-23 Class B Common Stock 6000 84040 D Class B Common Stock 2.94 2018-06-01 4 M 0 6000 2.94 A 2024-01-23 Class A Common Stock 6000 6000 D Class B Common Stock 2.94 2018-06-01 4 C 0 6000 2.94 D 2024-01-23 Class A Common Stock 6000 0 D 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 2) (footnote 1 continued), (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. Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017. Options were 1/4 vested on 12/31/14 then 1/48th monthly thereafter over a total of 4 years. Options vested monthly (1/12th) over one year, first vest 2/2/18. Options vest monthly (1/48th) over four years from first vest 4/23/15. /s/ David Oh, attorney-in-fact 2018-06-04