0001716837-20-000227.txt : 20201214 0001716837-20-000227.hdr.sgml : 20201214 20201214184531 ACCESSION NUMBER: 0001716837-20-000227 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201210 FILED AS OF DATE: 20201214 DATE AS OF CHANGE: 20201214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Louden Steve CENTRAL INDEX KEY: 0001716792 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 201387667 MAIL ADDRESS: STREET 1: C/O ROKU, INC. STREET 2: 150 WINCHESTER CIRCLE CITY: LOS GATOS STATE: CA ZIP: 95032 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 edgar.xml PRIMARY DOCUMENT X0306 4 2020-12-10 0001428439 ROKU, INC ROKU 0001716792 Louden Steve C/O ROKU, INC. 1155 COLEMAN SAN JOSE CA 95110 0 1 0 0 CFO Class A Common Stock 2020-12-10 4 C 0 17543 5.7 A 17543 D Class A Common Stock 2020-12-10 4 C 0 10000 6.12 A 27543 D Class A Common Stock 2020-12-10 4 C 0 49999 5.64 A 77542.0 D Class A Common Stock 2020-12-10 4 S 0 8569 301.435 D 68973 D Class A Common Stock 2020-12-10 4 S 0 2100 302.5290 D 66873 D Class A Common Stock 2020-12-10 4 S 0 2930 303.455 D 63943 D Class A Common Stock 2020-12-10 4 S 0 565 306.27 D 63378 D Class A Common Stock 2020-12-10 4 S 0 8800 307.7875 D 54578 D Class A Common Stock 2020-12-10 4 S 0 7782 308.835 D 46796 D Class A Common Stock 2020-12-10 4 S 0 3500 309.995 D 43296 D Class A Common Stock 2020-12-10 4 S 0 7693 311.1995 D 35603 D Class A Common Stock 2020-12-10 4 S 0 6406 312.2125 D 29197 D Class A Common Stock 2020-12-10 4 S 0 10435 313.3375 D 18762 D Class A Common Stock 2020-12-10 4 S 0 3155 314.655 D 15607 D Class A Common Stock 2020-12-10 4 S 0 8769 316.005 D 6838 D Class A Common Stock 2020-12-10 4 S 0 6838 316.91 D 0 D Employee Stock Option (Right to Buy) 5.7 2020-12-10 4 M 0 17543 5.7 D 2025-07-02 Class B Common Stock 17543 0 D Class B Common Stock 5.7 2020-12-10 4 M 0 17543 5.7 A 2025-07-02 Class A Common Stock 17543 17543 D Class B Common Stock 5.7 2020-12-10 4 C 0 17543 5.7 D 2025-07-02 Class A Common Stock 17543 0.0 D Employee Stock Option (Right to Buy) 6.12 2020-12-10 4 M 0 10000 6.12 D 2027-05-15 Class B Common Stock 10000 56993 D Class B Common Stock 6.12 2020-12-10 4 M 0 10000 6.12 A 2027-05-15 Class A Common Stock 10000 10000 D Class B Common Stock 6.12 2020-12-10 4 C 0 10000 6.12 D 2027-05-15 Class A Common Stock 10000 0.0 D Employee Stock Option (Right to Buy) 5.64 2020-12-10 4 M 0 15151 5.64 D 2026-05-16 Class B Common Stock 15151 0 D Class B Common Stock 5.64 2020-12-10 4 M 0 15151 5.64 A 2026-05-16 Class A Common Stock 15151 15151 D Class B Common Stock 5.64 2020-12-10 4 C 0 15151 5.64 D 2026-05-16 Class A Common Stock 15151 0.0 D Employee Stock Option (Right to Buy) 5.64 2020-12-10 4 M 0 34848 5.64 D 2026-05-16 Class B Common Stock 34848 0.0 D Class B Common Stock 5.64 2020-12-10 4 M 0 34848 5.64 A 2026-05-16 Class A Common Stock 34848 34848 D Class B Common Stock 5.64 2020-12-10 4 C 0 34848 5.64 D 2026-05-16 Class A Common Stock 34848 0.0 D Shares sold pursuant to Mr. Louden's 10b5-1 plan. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $301.00 to $301.87 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $302.06 to $303.00 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $303.17 to $303.74 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $307.33 to $308.25 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $308.34 to $309.33 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $309.50 to $310.49 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $310.71 to $311.69 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $311.73 to $312.70 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $312.89 to $313.79 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $314.18 to $315.13 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $315.51 to $316.50 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $316.53 to $317.29 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. This stock option is fully vested. 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/ Christy Lillquist, attorney-in-fact 2020-12-14