0001716837-18-000063.txt : 20180814 0001716837-18-000063.hdr.sgml : 20180814 20180814202022 ACCESSION NUMBER: 0001716837-18-000063 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180810 FILED AS OF DATE: 20180814 DATE AS OF CHANGE: 20180814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wood Anthony J. CENTRAL INDEX KEY: 0001716837 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 181019548 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 2018-08-10 0001428439 ROKU, INC ROKU 0001716837 Wood Anthony J. C/O ROKU, INC. 150 WINCHESTER CIRCLE LOS GATOS CA 95032 1 1 1 0 CEO and Chairman BOD Class A Common Stock 2018-08-10 4 C 0 248150 .16 A 497886 D Class A Common Stock 2018-08-10 4 S 0 122000 58.8117 D 375886 D Class A Common Stock 2018-08-13 4 C 0 124192 .16 A 500078 D Class A Common Stock 2018-08-13 4 S 0 122000 55.9462 D 378078 D Class A Common Stock 2018-08-14 4 S 0 1486 55.8839 D 376592 D Class A Common Stock 2018-08-14 4 S 0 125000 56.561 D 251592 D Employee Stock Option (right to buy) .16 2018-08-10 4 M 0 248150 .16 D 2009-09-19 2018-11-17 Class B Common Stock 248150 744448 D Class B Common Stock .16 2018-08-10 4 M 0 248150 .16 A 2018-11-17 Class A Common Stock 248150 248150 D Class B Common Stock .16 2018-08-10 4 C 0 248150 .16 D 2018-11-17 Class A Common Stock 248150 0 D Employee Stock Option (right to buy) .16 2018-08-13 4 M 0 248149 .16 D 2009-09-19 2018-11-17 Class B Common Stock 248149 496299 D Class B Common Stock .16 2018-08-13 4 M 0 248149 .16 A 2018-11-17 Class A Common Stock 248149 248149 D Class B Common Stock .16 2018-08-13 4 C 0 248149 .16 D 2018-11-17 Class A Common Stock 248149 0 D Class B Common Stock .001 2018-08-13 4 C 0 123957 .16 A Class A Common Stock 123957 20800088 I Wood Revocable Trust Granted September 19, 2008. 25% of initial grant vested on September 19, 2009 and the remaining 3/4 vested in equal monthly increments thereafter. The grant was fully vested on September 19, 2012. 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 3) (footnote 2 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. Shares sold pursuant to Mr. Wood'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 $56.29 to $60.64 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 $54.51 to $58.5299 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. Additional shares sold to cover taxes, pursuant to Mr. Wood'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 $55.79 to $56.7899 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. 247,740 shares transferred from direct ownership to Wood Revocable Trust on June 29, 2018. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.49 to $58.07 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. /s/ David Oh, attorney-in-fact 2018-08-14