0001716837-19-000199.txt : 20191119 0001716837-19-000199.hdr.sgml : 20191119 20191119182735 ACCESSION NUMBER: 0001716837-19-000199 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191115 FILED AS OF DATE: 20191119 DATE AS OF CHANGE: 20191119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rosenberg Scott A. CENTRAL INDEX KEY: 0001716857 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38211 FILM NUMBER: 191232634 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 2019-11-15 0001428439 ROKU, INC ROKU 0001716857 Rosenberg Scott A. 150 WINCHESTER CIRCLE LOS GATOS CA 95032 0 1 0 0 GM, Sr. VP Platform Business Class A Common Stock 2019-11-15 4 M 0 3356 0 A 32266 D Class A Common Stock 2019-11-18 4 S 0 1664 159.5455 D 30602 D Class A Common Stock 2019-11-19 4 S 0 1692 153.45 D 28910 D Restricted Stock Unit 0 2019-11-15 4 M 0 3356 0 D 2018-11-15 Class A Common Stock 3356 23492 D These shares were sold by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award. Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan. This RSU vests ratably in 12 quarterly installments with the first vest occurring on November 15, 2018. /s/ Christy Lillquist, attorney-in-fact 2019-11-19