0001716837-21-000135.txt : 20210903 0001716837-21-000135.hdr.sgml : 20210903 20210903180803 ACCESSION NUMBER: 0001716837-21-000135 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210901 FILED AS OF DATE: 20210903 DATE AS OF CHANGE: 20210903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rosenberg Scott A. CENTRAL INDEX KEY: 0001716857 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 211237720 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 2021-09-01 0001428439 ROKU, INC ROKU 0001716857 Rosenberg Scott A. 1155 COLEMAN SAN JOSE CA 95110 0 1 0 0 GM, Sr. VP Platform Business Class A Common Stock 2021-09-01 4 M 0 9420 0 A 24541 D Class A Common Stock 2021-09-02 4 S 0 5358 358.021 D 19183 D Class A Common Stock 2021-09-03 4 S 0 4062 334.27 D 15121 D Class A Common Stock 26253 I Rosenberg 2021 Gift Trust Restricted Stock Unit 0.0 2021-09-01 4 M 0 3356.0 0.0 D 2018-11-15 Class A Common Stock 3356.0 0 D Restricted Stock Unit 0 2021-09-01 4 M 0 6064 0 D 2020-11-15 Class A Common Stock 6064 0 D These shares were sold by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award. Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan. This RSU vests ratably in 12 quarterly installments. The first installment vested on November 15, 2018. This RSU vests ratably in 4 quarterly installments. The first installment vested on November 15, 2020. /s/ Christy Lillquist, attorney-in-fact 2021-09-03