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