0001716837-18-000084.txt : 20181029 0001716837-18-000084.hdr.sgml : 20181029 20181029200845 ACCESSION NUMBER: 0001716837-18-000084 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181025 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 181145308 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 2018-10-25 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 2018-10-25 4 C 0 22343 2.76 A 22343 D Class A Common Stock 2018-10-25 4 S 0 22343 51.904 D 0 D Class A Common Stock 2018-10-25 4 C 0 2218 2.76 A 2218 D Class A Common Stock 2018-10-25 4 S 0 2218 51.904 D 0 D Class A Common Stock 2018-10-25 4 C 0 34013 2.76 A 34013 D Class A Common Stock 2018-10-25 4 S 0 34013 51.904 D 0 D Class A Common Stock 2018-10-25 4 C 0 18118 5.64 A 18118 D Class A Common Stock 2018-10-25 4 S 0 9185 51.904 D 0 D Class A Common Stock 2018-10-25 4 S 0 8933 52.4487 D 0 D Class A Common Stock 2018-10-25 4 C 0 9117 5.64 A 9117 D Class A Common Stock 2018-10-25 4 S 0 9117 52.4487 D 0 D Class A Common Stock 2018-10-25 4 C 0 2209 5.64 A 2209 D Class A Common Stock 2018-10-25 4 S 0 2209 52.4487 D 0 D Class A Common Stock 2018-10-25 4 C 0 11111 5.64 A 11111 D Class A Common Stock 2018-10-25 4 S 0 10211 52.4487 D 0 D Class A Common Stock 2018-10-25 4 S 0 900 53.3022 D 0 D Employee Stock Option (right to buy) 2.76 2018-10-25 4 M 0 22343 2.76 D 2022-10-30 Class B Common Stock 22343 0 D Class B Common Stock 2.76 2018-10-25 4 M 0 22343 2.76 A 2022-10-30 Class A Common Stock 22343 22343 D Class B Common Stock 2.76 2018-10-25 4 C 0 22343 2.76 D 2022-10-30 Class A Common Stock 22343 0 D Employee Stock Option (right to buy) 2.76 2018-10-25 4 M 0 2218 2.76 D 2022-10-30 Class B Common Stock 2218 0 D Class B Common Stock 2.76 2018-10-25 4 M 0 2218 2.76 A 2022-10-30 Class A Common Stock 2218 2218 D Class B Common Stock 2.76 2018-10-25 4 C 0 2218 2.76 D 2022-10-30 Class A Common Stock 2218 0 D Employee Stock Option (right to buy) 2.76 2018-10-25 4 M 0 34013 2.76 D 2022-10-30 Class B Common Stock 34013 0 D Class B Common Stock 2.76 2018-10-25 4 M 0 34013 2.76 A 2022-10-30 Class A Common Stock 34013 34013 D Class B Common Stock 2.76 2018-10-25 4 C 0 34013 2.76 D 2022-10-30 Class A Common Stock 34013 0 D Employee Stock Option (right to buy) 5.64 2018-10-25 4 M 0 18118 5.64 D 2025-03-22 Class B Common Stock 18118 13021 D Class B Common Stock 5.64 2018-10-25 4 M 0 18118 5.64 A 2025-03-22 Class A Common Stock 18118 18118 D Class B Common Stock 5.64 2018-10-25 4 C 0 18118 5.64 D 2025-03-22 Class A Common Stock 18118 0 D Employee Stock Option (right to buy) 5.64 2018-10-25 4 M 0 9117 5.64 D 2026-05-16 Class B Common Stock 9117 43482 D Class B Common Stock 5.64 2018-10-25 4 M 0 9117 5.64 A 2026-05-16 Class A Common Stock 9117 9117 D Class B Common Stock 5.64 2018-10-25 4 C 0 9117 5.64 D 2026-05-16 Class A Common Stock 9117 0 D Employee Stock Option (right to buy) 5.64 2018-10-25 4 M 0 2209 5.64 D 2026-05-16 Class B Common Stock 2209 5998 D Class B Common Stock 5.64 2018-10-25 4 M 0 2209 5.64 A 2026-05-16 Class A Common Stock 2209 2209 D Class B Common Stock 5.64 2018-10-25 4 C 0 2209 5.64 D 2026-05-16 Class A Common Stock 2209 0 D Employee Stock Option (right to buy) 5.64 2018-10-25 4 M 0 11111 5.64 D 2026-11-07 Class B Common Stock 11111 122222 D Class B Common Stock 5.64 2018-10-25 4 M 0 11111 5.64 A 2026-11-07 Class A Common Stock 11111 11111 D Class B Common Stock 5.64 2018-10-25 4 C 0 11111 5.64 D 2026-11-07 Class A Common Stock 11111 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 9/1/2013 then monthly thereafter. Fully vested as of 9/1/2016. Granted October 30, 2012, first vest on 7/1/2016 then monthly thereafter. Fully vested as of 9/1/2016. Granted October 30, 2012, first vest 25% on 9/1/2013 then monthly thereafter. Fully vested as of 7/1/2016. Granted March 23, 2015, vests monthly over 4 years. Fully vested as of 3/23/2019. Granted November 8, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020. Granted December 20, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020. Granted November 8, 2016, vests monthly over 1 year from vest base date 9/2/18. Fully vested as of 9/2/2019. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.19 to $52.18 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 $52.19 to $53.15 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 $53.20 to $53.42 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/ Stephen Kay, attorney-in-fact 2018-10-29