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