0001716837-18-000094.txt : 20181219
0001716837-18-000094.hdr.sgml : 20181219
20181219180902
ACCESSION NUMBER: 0001716837-18-000094
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180524
FILED AS OF DATE: 20181219
DATE AS OF CHANGE: 20181219
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hastings Jeff
CENTRAL INDEX KEY: 0001336253
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38211
FILM NUMBER: 181244312
MAIL ADDRESS:
STREET 1: AVID TECHNOLOGY, INC.
STREET 2: ONE PARK WEST
CITY: TEWKSBURY
STATE: MA
ZIP: 01876
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: 12980 SARATOGA AVE.
STREET 2: SUITE D
CITY: SARATOGA
STATE: CA
ZIP: 95070
BUSINESS PHONE: 408-446-1459
MAIL ADDRESS:
STREET 1: 12980 SARATOGA AVE.
STREET 2: SUITE D
CITY: SARATOGA
STATE: CA
ZIP: 95070
FORMER COMPANY:
FORMER CONFORMED NAME: ROKU INC
DATE OF NAME CHANGE: 20080228
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2018-05-24
0001428439
ROKU, INC
ROKU
0001336253
Hastings Jeff
C/O ROKU, INC.
150 WINCHESTER CIRCLE
LOS GATOS
CA
95032
1
0
0
0
Class A Common Stock
2018-12-17
4
C
0
3000
8.82
A
3000
D
Class A Common Stock
2018-12-17
4
S
0
3000
33.49
D
0
D
Stock Option (right to buy)
8.82
2018-12-17
4
M
0
3000
8.82
D
2027-08-14
Class B Common Stock
3000
17833
D
Class B Common Stock
8.82
2018-12-17
4
M
0
3000
8.82
A
2027-08-14
Class A Common Stock
3000
3000
D
Class B Common Stock
8.82
2018-12-17
4
C
0
3000
8.82
D
2027-08-14
Class A Common Stock
3000
0
D
Shares sold pursuant to Mr. Hasting's 10b5-1 plan dated September 14, 2018.
1/12 of the Option vests in equal monthly installments one month from 8/5/2017. The shares of this option are early exercisable, subject to the Issuer's right to repurchase.
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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into 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, (continued on footnote 4)
(footnote 3 continued), (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, attorney-in-fact
2018-12-19