X0306
4
2019-06-05
0001428439
ROKU, INC
ROKU
0001513957
Henricks Alan S.
C/O ROKU, INC.
150 WINCHESTER CIRCLE
LOS GATOS
CA
95032
1
0
0
0
Class A Common Stock
2019-06-05
4
C
0
6000
2.28
A
11222
D
Class A Common Stock
2019-06-05
4
S
0
6000
100.00
D
5222
D
Stock Option (right to buy)
2.28
2019-06-05
4
M
0
6000
2.28
D
2022-05-01
Class B Common Stock
6000
105200
D
Class B Common Stock
2.28
2019-06-05
4
M
0
6000
2.28
A
2022-05-01
Class A Common Stock
6000
6000
D
Class B Common Stock
2.28
2019-06-05
4
C
0
6000
2.28
D
2022-05-01
Class A Common Stock
6000
0
D
Shares sold pursuant to Mr. Henrick's 10b5-1 plan dated November 13, 2018.
1/48 of the Option vests in equal monthly installments one month from 5/1/2012.
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. Shares of Class B Common Stock will convert automatically into shares of 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, (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.
/s/ Stephen Kay, attorney-in-fact
2019-06-07