0001716837-21-000034.txt : 20210405
0001716837-21-000034.hdr.sgml : 20210405
20210405213745
ACCESSION NUMBER: 0001716837-21-000034
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210401
FILED AS OF DATE: 20210405
DATE AS OF CHANGE: 20210405
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wood Anthony J.
CENTRAL INDEX KEY: 0001716837
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38211
FILM NUMBER: 21807956
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
2021-04-01
0001428439
ROKU, INC
ROKU
0001716837
Wood Anthony J.
C/O ROKU, INC.
1155 COLEMAN
SAN JOSE
CA
95110
1
1
1
0
CEO and Chairman BOD
Class A Common Stock
2021-04-01
4
C
0
45000
2.76
A
45000
D
Class A Common Stock
2021-04-01
5
G
0
45000
2.76
D
0
D
Class A Common Stock
2021-04-01
5
G
0
45000
2.76
A
70000
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
1100
329.7498
D
68900
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
3944
330.9054
D
64956
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
15068
331.8058
D
49888
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
8909
332.6438
D
40979
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
4602
333.8899
D
36377
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
2500
334.6638
D
33877
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
1400
335.9850
D
32477
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
1200
337.3425
D
31277
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
1400
338.1970
D
29877
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
1800
339.2206
D
28077
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
1370
340.5292
D
26707
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
700
341.4100
D
26007
I
Wood Revocable Trust
Class A Common Stock
2021-04-01
4
S
0
1007
342.3700
D
25000
I
Wood Revocable Trust
Class A Common Stock
36000
I
Wood 2020 Irrevocable Trust
Employee Stock Option (Right to Buy)
2.76
2021-04-01
4
M
0
45000
2.76
D
2022-07-24
Class B Common Stock
45000
493333
D
Class B Common Stock
2.76
2021-04-01
4
M
0
45000
2.76
A
2022-07-24
Class A Common Stock
45000
45000
D
Class B Common Stock
2.76
2021-04-01
4
C
0
45000
2.76
D
2022-07-24
Class A Common Stock
45000
0
D
Employee Stock Option (right to buy)
331.9
2021-04-01
4
A
0
175
0.0
A
2021-04-01
2031-03-31
Class A Common Stock
175
175
D
Shares sold pursuant to a Rule 10b5-1 Sales Plan.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $329.19 to $330.11 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 $330.24 to $331.18 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 $331.26 to $332.25 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 $332.26 to $333.23 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 $333.28 to $334.27 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 $334.29 to $335.28 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 $335.51 to $336.45 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 $336.82 to $337.79 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 $337.83 to $338.79 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 $338.83 to $339.76 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 $339.96 to $340.94 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 $340.96 to $341.95 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 $341.98 to $342.90 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.
This stock option was awarded to the Reporting Person by the Issuer's Compensation Committee of the Board of Directors pursuant to the Issuer's Executive Supplemental Stock Option Program in exchange for a reduction in the monthly base salary of the Reporting Person of $20,000.00.
/s/ Christy Lillquist, attorney-in-fact
2021-04-05