0001716837-18-000072.txt : 20180829 0001716837-18-000072.hdr.sgml : 20180829 20180829192625 ACCESSION NUMBER: 0001716837-18-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180827 FILED AS OF DATE: 20180829 DATE AS OF CHANGE: 20180829 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Chas CENTRAL INDEX KEY: 0001716838 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 181045343 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 2018-08-27 0001428439 ROKU, INC ROKU 0001716838 Smith Chas C/O ROKU, INC. 150 WINCHESTER CIRCLE LOS GATOS CA 95032 0 1 0 0 GM, Sr. VP Roku TV & Players Class A Common Stock 2018-08-27 4 C 0 4 2.76 A 4 D Class A Common Stock 2018-08-27 4 S 0 4 64.00 D 0 D Employee Stock Option (right to buy) 2.76 2018-08-27 4 M 0 4 2.76 D 2022-10-30 Class B Common Stock 4 22393 D Class B Common Stock 2.76 2018-08-27 4 M 0 4 2.76 A 2022-10-30 Class A Common Stock 4 4 D Class B Common Stock 2.76 2018-08-27 4 C 0 4 2.76 D 2022-10-30 Class A Common Stock 4 0 D Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017. 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. Granted October 30, 2012, first vest 25% on 9/13/2013 then monthly thereafter. Fully vested as of 9/1/2016. /s/ David Oh, attorney-in-fact 2018-08-29