0001716837-19-000108.txt : 20190607
0001716837-19-000108.hdr.sgml : 20190607
20190607165234
ACCESSION NUMBER: 0001716837-19-000108
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190605
FILED AS OF DATE: 20190607
DATE AS OF CHANGE: 20190607
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KAY STEPHEN H
CENTRAL INDEX KEY: 0001247487
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38211
FILM NUMBER: 19886586
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]
IRS NUMBER: 262087865
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 150 WINCHESTER CIRCLE
CITY: LOS GATOS
STATE: CA
ZIP: 95032
BUSINESS PHONE: 408-446-1459
MAIL ADDRESS:
STREET 1: 150 WINCHESTER CIRCLE
CITY: LOS GATOS
STATE: CA
ZIP: 95032
FORMER COMPANY:
FORMER CONFORMED NAME: ROKU INC
DATE OF NAME CHANGE: 20080228
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2019-06-05
0001428439
ROKU, INC
ROKU
0001247487
KAY STEPHEN H
C/O ROKU, INC.
150 WINCHESTER CIRCLE
LOS GATOS
CA
95032
0
1
0
0
SVP General Counsel, Secretary
Class A Common Stock
2019-06-05
4
C
0
10000
2.94
A
60000
D
Class A Common Stock
2019-06-05
4
S
0
10000
100.00
D
50000
D
Employee Stock Option (Right to Buy)
2.94
2019-06-05
4
M
0
10000
2.94
D
2024-01-23
Class B Common Stock
10000
28216
D
Class B Common Stock
2.94
2019-06-05
4
M
0
10000
2.94
A
2024-01-23
Class A Common Stock
10000
10000
D
Class B Common Stock
2.94
2019-06-05
4
C
0
10000
2.94
D
2024-01-23
Class A Common Stock
10000
0
D
Shares sold pursuant to Mr. Kay's 10b5-1 plan.
Options were 1/4 vested on 1/2/15 then 1/36th monthly thereafter over a total of 4 years.
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.
/s/ Stephen Kay
2019-06-07