0001716837-19-000139.txt : 20190805
0001716837-19-000139.hdr.sgml : 20190805
20190805174213
ACCESSION NUMBER: 0001716837-19-000139
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190801
FILED AS OF DATE: 20190805
DATE AS OF CHANGE: 20190805
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wood Anthony J.
CENTRAL INDEX KEY: 0001716837
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38211
FILM NUMBER: 19999778
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: 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
2019-08-01
0001428439
ROKU, INC
ROKU
0001716837
Wood Anthony J.
C/O ROKU, INC.
150 WINCHESTER CIRCLE
LOS GATOS
CA
95032
1
1
1
0
CEO and Chairman BOD
Class A Common Stock
2019-08-01
4
C
0
35000
A
71592
I
Wood Revocable Trust
Class A Common Stock
2019-08-01
4
S
0
1500
99.9453
D
70092
I
Wood Revocable Trust
Class A Common Stock
2019-08-01
4
S
0
9176
100.8674
D
60916
I
Wood Revocable Trust
Class A Common Stock
2019-08-01
4
S
0
2580
101.6379
D
58336
I
Wood Revocable Trust
Class A Common Stock
2019-08-01
4
S
0
1600
102.6319
D
56736
I
Wood Revocable Trust
Class A Common Stock
2019-08-01
4
S
0
6088
104.2231
D
50648
I
Wood Revocable Trust
Class A Common Stock
2019-08-01
4
S
0
13856
105.066
D
36792
I
Wood Revocable Trust
Class A Common Stock
2019-08-01
4
S
0
200
105.585
D
36592
I
Wood Revocable Trust
Employee Stock Option (right to buy)
100.845
2019-08-01
4
A
0
1033
0
A
2019-08-01
2029-07-31
Class A Common Stock
1033
1033
D
Class B Common Stock
0
2019-08-01
4
C
0
35000
0
D
Class A Common Stock
35000
19570233
I
Wood Revocable Trust
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.
Shares sold pursuant to a Rule 10b5-1 Sales Plan.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.28 to $100.20 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 $100.32 to $101.27 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 $101.32 to $102.27 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 $102.32 to $103.09 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 $103.57 to $104.56 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 $104.58 to $105.57 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 $105.58 to $105.59 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 Stock Option is fully vested.
This Stock Option was awarded to the Reporting Person by the Issuer's Compensation Committee of the Board of Directors pursuant to the Issuer's Executive Supplemental Stock Option Program in exchange for a reduction in annual base salary of the Reporting Person of $41,666.67.
/s/ Stephen Kay, attorney-in-fact
2019-08-05