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