0001716837-20-000155.txt : 20200819
0001716837-20-000155.hdr.sgml : 20200819
20200819172953
ACCESSION NUMBER: 0001716837-20-000155
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200817
FILED AS OF DATE: 20200819
DATE AS OF CHANGE: 20200819
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: 201117927
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: 1155 COLEMAN AVENUE
CITY: SAN JOSE
STATE: CA
ZIP: 95110
BUSINESS PHONE: 408-446-1459
MAIL ADDRESS:
STREET 1: 1155 COLEMAN AVENUE
CITY: SAN JOSE
STATE: CA
ZIP: 95110
FORMER COMPANY:
FORMER CONFORMED NAME: ROKU INC
DATE OF NAME CHANGE: 20080228
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2020-08-17
0001428439
ROKU, INC
ROKU
0001716837
Wood Anthony J.
C/O ROKU, INC.
1155 COLEMAN
SAN JOSE
CA
95110
1
1
1
0
CEO and Chairman BOD
Class A Common Stock
2020-08-17
4
C
0
350000
A
375000
I
Wood Revocable Trust
Class A Common Stock
2020-08-17
4
C
0
150000
2.76
A
150000
D
Class A Common Stock
2020-08-17
5
G
0
150000
2.76
D
0
D
Class A Common Stock
2020-08-17
5
G
0
150000
2.76
A
525000
I
Wood Revocable Trust
Class A Common Stock
2020-08-17
4
S
0
42923
143.9339
D
482077
I
Wood Revocable Trust
Class A Common Stock
2020-08-17
4
S
0
221824
144.9434
D
260253
I
Wood Revocable Trust
Class A Common Stock
2020-08-17
4
S
0
157909
145.5765
D
102344
I
Wood Revocable Trust
Class A Common Stock
2020-08-17
4
S
0
67344
146.8475
D
35000
I
Wood Revocable Trust
Class A Common Stock
2020-08-17
4
S
0
10000
147.5974
D
25000
I
Wood Revocable Trust
Class A Common Stock
2020-08-18
4
C
0
70000
A
95000
I
Wood Revocable Trust
Class A Common Stock
2020-08-18
4
C
0
30000
2.76
A
30000
D
Class A Common Stock
2020-08-18
5
G
0
30000
2.76
D
0.0
D
Class A Common Stock
2020-08-18
5
G
0
30000
2.76
A
125000
I
Wood Revocable Trust
Class A Common Stock
2020-08-18
4
S
0
99817
150.2809
D
25183
I
Wood Revocable Trust
Class A Common Stock
2020-08-18
4
S
0
183
151.02
D
25000.0
I
Wood Revocable Trust
Class B Common Stock
0
2020-08-17
4
C
0
350000
0
D
Class A Common Stock
350000
18156815
I
Wood Revocable Trust
Employee Stock Option (Right to Buy)
2.76
2020-08-17
4
M
0
150000
2.76
D
2022-07-24
Class B Common Stock
150000
1093333
D
Class B Common Stock
2.76
2020-08-17
4
M
0
150000
2.76
A
2022-07-24
Class A Common Stock
150000
150000
D
Class B Common Stock
2.76
2020-08-17
4
C
0
150000
2.76
D
2022-07-24
Class A Common Stock
150000
0
D
Employee Stock Option (right to buy)
145.71
2020-08-17
4
A
0
256934
0.0
A
2030-08-16
Class A Common Stock
256934
256934
D
Class B Common Stock
0.0
2020-08-18
4
C
0
70000
0.0
D
Class A Common Stock
70000
18086815
I
Wood Revocable Trust
Employee Stock Option (Right to Buy)
2.76
2020-08-18
4
M
0
30000
2.76
D
2022-07-24
Class B Common Stock
30000
1063333
D
Class B Common Stock
2.76
2020-08-18
4
M
0
30000
2.76
A
2022-07-24
Class A Common Stock
30000
30000
D
Class B Common Stock
2.76
2020-08-18
4
C
0
30000
2.76
D
2022-07-24
Class A Common Stock
30000
0.0
D
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 $143.38 to $144.37 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 $144.38 to $145.37 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 $145.38 to $146.37 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 $146.39 to $147.38 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 $147.39 to $148.23 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 $150.00 to $150.99 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.
This stock option is fully vested.
This Option vests in 12 equal monthly installments beginning on the vesting commencement date of 8/14/2023.
/s/ Christy Lillquist, attorney-in-fact
2020-08-19