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