0001716837-19-000051.txt : 20190318 0001716837-19-000051.hdr.sgml : 20190318 20190318212415 ACCESSION NUMBER: 0001716837-19-000051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180328 FILED AS OF DATE: 20190318 DATE AS OF CHANGE: 20190318 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rothrock Ray A. CENTRAL INDEX KEY: 0001500899 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 19690056 MAIL ADDRESS: STREET 1: 3340 HILLVIEW AVENUE CITY: PALO ALTO STATE: CA ZIP: 94304 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: 150 WINCHESTER CIRCLE CITY: LOS GATOS STATE: CA ZIP: 95032 BUSINESS PHONE: 408-446-1459 MAIL ADDRESS: STREET 1: 150 WINCHESTER CIRCLE CITY: LOS GATOS STATE: CA ZIP: 95032 FORMER COMPANY: FORMER CONFORMED NAME: ROKU INC DATE OF NAME CHANGE: 20080228 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-03-28 0001428439 ROKU, INC ROKU 0001500899 Rothrock Ray A. C/O ROKU, INC. 150 WINCHESTER CIRCLE LOS GATOS CA 95032 1 0 0 0 Class A Common Stock 2018-03-28 4 C 0 69444 0 A 69444 D Class A Common Stock 2018-03-28 4 C 0 90579 0 A 90579 I See Footnote Class A Common Stock 2018-05-08 4 J 0 2870 0 A 72314 D Class A Common Stock 2018-05-08 4 J 0 7960 0 A 98539 I See Footnote Class A Common Stock 2019-03-14 4 C 0 13889 0 A 86203 D Class A Common Stock 2019-03-14 4 S 0 15000 61.7864 D 83539 I See Footnote Class B Common Stock 0 2018-03-28 4 C 0 69444 0 D Class A Common Stock 69444 13889 D Class B Common Stock 0 2018-03-28 4 C 0 90579 0 D Class A Common Stock 90579 0 I See Footnote Class B Common Stock 0 2019-03-14 4 C 0 13889 0 D Class A Common Stock 13889 0 D Mr. Rothrock is a Manager of FiftySix Investments, LLC and may be deemed to have voting and investment power over the shares held by FiftySix Investments, LLC. Mr. Rothrock disclaims beneficial ownership of such shares, except to the extent of his pecuiary interest therein. Represents a pro-rata distribution by Luminari Capital, LP to its limited partners and general partners. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.74 to $62.07 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities 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. 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. Shares of Class B Common Stock will convert automatically into shares of 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, (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. /s/ Stephen Kay, attorney-in-fact 2019-03-18