0001716837-18-000056.txt : 20180719 0001716837-18-000056.hdr.sgml : 20180719 20180719180706 ACCESSION NUMBER: 0001716837-18-000056 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180717 FILED AS OF DATE: 20180719 DATE AS OF CHANGE: 20180719 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rosenberg Scott A. CENTRAL INDEX KEY: 0001716857 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 18961175 MAIL ADDRESS: STREET 1: C/O ROKU, INC. STREET 2: 150 WINCHESTER CIRCLE CITY: LOS GATOS STATE: CA ZIP: 95032 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 2018-07-17 0001428439 ROKU, INC ROKU 0001716857 Rosenberg Scott A. C/O ROKU, INC. 150 WINCHESTER CIRCLE LOS GATOS CA 95032 0 1 0 0 GM, Sr VP Platform Busines Class A Common Stock 2018-07-17 4 C 0 20000 8.82 A 20000 D Class A Common Stock 2018-07-17 4 S 0 20000 50.00 D 0 D Employee Stock Option (right to buy) 8.82 2018-07-17 4 M 0 20000 8.82 D 2017-09-15 2027-08-15 Class B Common Stock 20000 146666 D Class B Common Stock 8.82 2018-07-17 4 M 0 20000 8.82 A 2027-08-15 Class A Common Stock 20000 20000 D Class B Common Stock 8.82 2018-07-17 4 C 0 20000 8.82 D 2027-08-15 Class A Common Stock 20000 0 D Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan dated November 21, 2017. Granted August 15, 2017; 1/48 of the Option vests in equal monthly installments from grant date. 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. 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/ David Oh, attorney-in-fact 2018-07-19