0001716837-18-000083.txt : 20181029
0001716837-18-000083.hdr.sgml : 20181029
20181029200817
ACCESSION NUMBER: 0001716837-18-000083
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180625
FILED AS OF DATE: 20181029
DATE AS OF CHANGE: 20181029
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Smith Chas
CENTRAL INDEX KEY: 0001716838
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38211
FILM NUMBER: 181145307
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/A
1
edgar.xml
PRIMARY DOCUMENT
X0306
4/A
2018-06-25
2018-06-27
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
2018-06-25
4
C
0
6944
5.64
A
6944
D
Class A Common Stock
2018-06-25
4
S
0
6944
42.4214
D
0
D
Class A Common Stock
2018-06-25
4
C
0
56574
2.76
A
56574
D
Class A Common Stock
2018-06-25
4
S
0
56574
42.4214
D
0
D
Employee Stock Option (right to buy)
5.64
2018-06-25
4
M
0
6944
5.64
D
2026-05-16
Class B Common Stock
6944
8207
D
Class B Common Stock
5.64
2018-06-25
4
M
0
6944
5.64
A
2026-05-16
Class A Common Stock
6944
6944
D
Class B Common Stock
5.64
2018-06-25
4
C
0
6944
5.64
D
2026-05-16
Class A Common Stock
6944
0
D
Employee Stock Option (right to buy)
2.76
2018-06-25
4
M
0
56574
2.76
D
2022-10-30
Class B Common Stock
56574
240527
D
Class B Common Stock
2.76
2018-06-25
4
M
0
56574
2.76
A
2022-10-30
Class A Common Stock
56574
56574
D
Class B Common Stock
2.76
2018-06-25
4
C
0
56574
2.76
D
2022-10-30
Class A Common Stock
56574
0
D
Granted December 20, 2016; 1/48 of the Option vests in equal monthly installments from 5/17/16 vest commencement date.
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 5)
(footnote 4 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.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.16 to $44.53 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities adn Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
This amendment is filed to correct the allocation of shares to the Options exercised, Converted from Class B to Class A, and sold as reported on Mr. Smith's previous Form 4 filed on 6/25/2018. One transaction was reported as involving 6,994 shares and another was reported as involving 56,524 shares. The correct share amounts for the transactions were 6,944 and 56,572, respectively. The ending shares balance as of 6/25/2018 has also been corrected to reflect 8,207 and 240,527, respectively.
/s/ Stephen Kay, attorney-in-fact
2018-10-29