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