0001716837-21-000003.txt : 20210106 0001716837-21-000003.hdr.sgml : 20210106 20210106172609 ACCESSION NUMBER: 0001716837-21-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210104 FILED AS OF DATE: 20210106 DATE AS OF CHANGE: 20210106 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: 21511807 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 2021-01-04 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 2021-01-04 4 C 0 345000 2.76 A 345000 D Class A Common Stock 2021-01-04 5 G 0 345000 2.76 D 0 D Class A Common Stock 2021-01-04 5 G 0 345000 2.76 A 370000 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 59260 317.1817 D 310740 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 67465 317.9602 D 243275 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 46673 318.9922 D 196602 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 28831 319.9559 D 167771 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 13911 320.8596 D 153860 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 2900 322.0153 D 150960 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 3708 323.2259 D 147252 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 9557 324.1261 D 137695 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 25953 325.1501 D 111742 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 25772 326.1167 D 85970 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 13424 327.1977 D 72546 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 27403 328.2024 D 45143 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 9316 329.147 D 35827 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 1800 330.3933 D 34027 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 4800 332.4236 D 29227 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 400 333.255 D 28827 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 1400 335.1471 D 27427 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 1527 336.5161 D 25900 I Wood Revocable Trust Class A Common Stock 2021-01-04 4 S 0 900 338.57 D 25000 I Wood Revocable Trust Class A Common Stock 36000 I Wood 2020 Irrevocable Trust Employee Stock Option (Right to Buy) 2.76 2021-01-04 4 M 0 345000 2.76 D 2022-07-24 Class B Common Stock 345000 678333 D Class B Common Stock 2.76 2021-01-04 4 M 0 345000 2.76 A 2022-07-24 Class A Common Stock 345000 345000 D Class B Common Stock 2.76 2021-01-04 4 C 0 345000 2.76 D 2022-07-24 Class A Common Stock 345000 0 D Employee Stock Option (right to buy) 317.9 2021-01-04 4 A 0 304 0.0 A 2021-01-04 2030-12-31 Class A Common Stock 304 304 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 $316.48 to $317.47 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 $317.48 to $318.47 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 $318.48 to $319.46 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 $319.48 to $320.47 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 $320.48 to $321.45 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 $321.48 to $322.45 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 $322.58 to $323.56 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 $323.60 to $324.58 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 $324.61 to $325.60 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 $325.61 to $326.59 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 reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.65 to $327.61 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 $327.66 to $328.65 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 $328.75 to $329.64 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 $329.81 to $330.60 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 $331.98 to $332.86 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 $332.99 to $333.55 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 $334.83 to $335.54 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 $336.22 to $337.04 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 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 the monthly base salary of the Reporting Person of $33,333.33. /s/ Christy Lillquist, attorney-in-fact 2021-01-06