0001716837-21-000120.txt : 20210818 0001716837-21-000120.hdr.sgml : 20210818 20210818190027 ACCESSION NUMBER: 0001716837-21-000120 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210816 FILED AS OF DATE: 20210818 DATE AS OF CHANGE: 20210818 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: 211187875 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 2021-08-16 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 2021-08-16 4 C 0 55000 A 80000 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 C 0 25000 2.76 A 25000 D Class A Common Stock 2021-08-16 5 G 0 25000 2.76 D 0.0 D Class A Common Stock 2021-08-16 5 G 0 25000 2.76 A 105000 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 810 345.5412 D 104190 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 2400 346.7861 D 101790 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 5492 347.7841 D 96298 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 7661 348.8454 D 88637 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 7703 349.7693 D 80934 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 6900 350.6964 D 74034 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 4224 351.7061 D 69810 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 2859 353.0444 D 66951 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 2399 353.7281 D 64552 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 8957 354.9898 D 55595 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 17562 355.8925 D 38033 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 9733 356.6004 D 28300 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 400 357.71 D 27900 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 1300 359.2046 D 26600 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 700 361.31 D 25900 I Wood Revocable Trust Class A Common Stock 2021-08-16 4 S 0 900 362.13 D 25000 I Wood Revocable Trust Class A Common Stock 36000.0 I Wood 2020 Irrevocable Trust Class B Common Stock 0 2021-08-16 4 C 0 55000.0 0 D Class A Common Stock 55000 16770815 I Wood Revocable Trust Employee Stock Option (Right to Buy) 2.76 2021-08-16 4 M 0 25000 2.76 D 2022-07-24 Class B Common Stock 25000 188333 D Class B Common Stock 2.76 2021-08-16 4 M 0 25000 2.76 A 2022-07-24 Class A Common Stock 25000 25000 D Class B Common Stock 2.76 2021-08-16 4 C 0 25000 2.76 D 2022-07-24 Class A Common Stock 25000 0 D Employee Stock Option (right to buy) 356.58 2021-08-16 4 A 0 118830 0.0 A 2031-08-15 Class A Common Stock 118830 118830 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. 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. 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 $345.19 to $346.04 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 $346.29 to $347.22 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 $347.32 to $348.29 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $348.32 to $349.29 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $349.32 to $350.29 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $350.32 to $351.27 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 $351.32 to $352.14 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 $352.33 to $353.32 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 $353.34 to $354.33 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 $354.35 to $355.34 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 $355.36 to $356.35 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 $356.36 to $357.35 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 $357.37 to $358.28 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 $358.81 to $359.80 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 $360.64 to $361.63 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 $361.67 to $362.51 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. This Option vests in 12 equal monthly installments beginning on the vesting commencement date of 9/14/2024. /s/ Christy Lillquist, attorney-in-fact 2021-08-18