0001062993-24-012732.txt : 20240617
0001062993-24-012732.hdr.sgml : 20240617
20240617195553
ACCESSION NUMBER: 0001062993-24-012732
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240613
FILED AS OF DATE: 20240617
DATE AS OF CHANGE: 20240617
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KAY STEPHEN H
CENTRAL INDEX KEY: 0001247487
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38211
FILM NUMBER: 241049829
MAIL ADDRESS:
STREET 1: 6922 HOLLYWOOD BLVD., 12TH FLOOR
CITY: LOS ANGELES
STATE: CA
ZIP: 90028
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROKU, INC
CENTRAL INDEX KEY: 0001428439
STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841]
ORGANIZATION NAME: 06 Technology
IRS NUMBER: 262087865
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1173 COLEMAN AVENUE
CITY: SAN JOSE
STATE: CA
ZIP: 95110
BUSINESS PHONE: (408) 556-9040
MAIL ADDRESS:
STREET 1: 1701 JUNCTION COURT, SUITE 100
STREET 2: ATTENTION: GENERAL COUNSEL
CITY: SAN JOSE
STATE: CA
ZIP: 95112
FORMER COMPANY:
FORMER CONFORMED NAME: ROKU INC
DATE OF NAME CHANGE: 20080228
4
1
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0508
4
2024-06-13
0001428439
ROKU, INC
ROKU
0001247487
KAY STEPHEN H
C/O ROKU, INC.
1173 COLEMAN AVE.
SAN JOSE
CA
95110
0
1
0
0
SVP General Counsel, Secretary
1
Class A Common Stock
2024-06-13
4
C
0
21993
A
104029
D
Class A Common Stock
2024-06-13
4
S
0
12124
55.59
D
91905
D
Employee Stock Option (Right to Buy)
6.12
2024-06-13
4
M
0
21993
6.12
D
2027-05-15
Class B Common Stock
21993
0
D
Class B Common Stock
6.12
2024-06-13
4
M
0
21993
6.12
A
2027-05-15
Class A Common Stock
21993
21993
D
Class B Common Stock
0
2024-06-13
4
C
0
21993
0
D
Class A Common Stock
21993
0
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 Mr. Kay's 10b5-1 plan to satisfy income tax withholding obligations in connection with the exercise of a stock option.
This stock option is fully vested.
/s/Renee Strandness, attorney-in-fact
2024-06-17