0001716837-19-000128.txt : 20190717
0001716837-19-000128.hdr.sgml : 20190717
20190717162508
ACCESSION NUMBER: 0001716837-19-000128
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190716
FILED AS OF DATE: 20190717
DATE AS OF CHANGE: 20190717
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: 19959384
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
2019-07-16
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
2019-07-16
4
C
0
3000
2.94
A
53000
D
Class A Common Stock
2019-07-16
4
C
0
4000
2.94
A
57000
D
Class A Common Stock
2019-07-16
4
C
0
5000
5.64
A
62000
D
Class A Common Stock
2019-07-16
4
S
0
655
104.3707
D
61345
D
Class A Common Stock
2019-07-16
4
S
0
462
105.612
D
60883
D
Class A Common Stock
2019-07-16
4
S
0
710
107.0381
D
60173
D
Class A Common Stock
2019-07-16
4
S
0
645
107.9825
D
59528
D
Class A Common Stock
2019-07-16
4
S
0
1132
108.8385
D
58396
D
Class A Common Stock
2019-07-16
4
S
0
8396
109.8578
D
50000
D
Employee Stock Option (Right to Buy)
2.94
2019-07-16
4
M
0
3000
2.94
D
2024-01-23
Class B Common Stock
3000
22216
D
Class B Common Stock
2.94
2019-07-16
4
M
0
3000
2.94
A
2024-01-23
Class A Common Stock
3000
3000
D
Class B Common Stock
2.94
2019-07-16
4
C
0
3000
2.94
D
2024-01-23
Class A Common Stock
3000
0
D
Employee Stock Option (Right to Buy)
2.94
2019-07-16
4
M
0
4000
2.94
D
2024-01-23
Class B Common Stock
4000
20040
D
Class B Common Stock
2.94
2019-07-16
4
M
0
4000
2.94
A
2024-01-23
Class A Common Stock
4000
4000
D
Class B Common Stock
2.94
2019-07-16
4
C
0
4000
2.94
D
2024-01-23
Class A Common Stock
4000
0
D
Employee Stock Option (Right to Buy)
5.64
2019-07-16
4
M
0
5000
5.64
D
2025-03-22
Class B Common Stock
5000
51436
D
Class B Common Stock
5.64
2019-07-16
4
M
0
5000
5.64
A
2025-03-22
Class A Common Stock
5000
5000
D
Class B Common Stock
5.64
2019-07-16
4
C
0
5000
5.64
D
2025-03-22
Class A Common Stock
5000
0
D
Shares sold pursuant to Mr. Kay's 10b5-1 plan.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.06 to $105.04 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 $105.19 to $106.18 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 $106.36 to $107.31 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 $107.41 to $108.37 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 $108.54 to $109.29 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 $109.8392 to $110.31 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.
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.
Options vest monthly starting 4/23/15 over 4 years.
/s/ Stephen Kay
2019-07-17