0001716837-21-000008.txt : 20210203
0001716837-21-000008.hdr.sgml : 20210203
20210203184858
ACCESSION NUMBER: 0001716837-21-000008
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210201
FILED AS OF DATE: 20210203
DATE AS OF CHANGE: 20210203
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: 21587983
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
2021-02-01
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
2021-02-01
4
C
0
45000
2.76
A
45000
D
Class A Common Stock
2021-02-01
5
G
0
45000
2.76
D
0
D
Class A Common Stock
2021-02-01
5
G
0
45000
2.76
A
70000
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
500
394.028
D
69500
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
500
395.404
D
69000
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
800
396.5638
D
68200
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
553
397.5405
D
67647
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
1200
398.6675
D
66447
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
2396
399.691
D
64051
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
2212
400.7202
D
61839
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
2100
401.88
D
59739
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
1700
402.9424
D
58039
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
1422
404.0808
D
56617
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
977
405.1226
D
55640
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
1100
406.0829
D
54540
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
436
407.3715
D
54104
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
3107
408.512
D
50997
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
7676
409.5956
D
43321
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
5533
410.3137
D
37788
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
3274
411.5798
D
34514
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
4337
412.5969
D
30177
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
1590
413.5881
D
28587
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
3406
415.2581
D
25181
I
Wood Revocable Trust
Class A Common Stock
2021-02-01
4
S
0
181
416.1001
D
25000
I
Wood Revocable Trust
Class A Common Stock
36000
I
Wood 2020 Irrevocable Trust
Employee Stock Option (Right to Buy)
2.76
2021-02-01
4
M
0
45000
2.76
D
2022-07-24
Class B Common Stock
45000
633333
D
Class B Common Stock
2.76
2021-02-01
4
M
0
45000
2.76
A
2022-07-24
Class A Common Stock
45000
45000
D
Class B Common Stock
2.76
2021-02-01
4
C
0
45000
2.76
D
2022-07-24
Class A Common Stock
45000
0
D
Employee Stock Option (right to buy)
416.2
2021-02-01
4
A
0
139
0.0
A
2021-02-01
2031-01-31
Class A Common Stock
139
139
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 $393.87 to $394.16 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 $394.88 to $395.66 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 $396.02 to $396.95 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 $397.15 to $397.90 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 $398.20 to $399.11 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 $399.20 to $400.11 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 $400.24 to $401.14 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 $401.38 to $402.35 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 $402.62 to $403.21 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 $403.65 to $404.55 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 $404.65 to $405.64 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 $405.65 to $406.63 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 $406.75 to $407.74 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 $408.02 to $409.01 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 $409.03 to $410.02 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 $410.05 to $410.98 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 $411.11 to $412.10 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 $412.12 to $413.09 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 $413.24 to $414.06 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 $414.75 to $415.73 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 $416.08 to $416.13 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 $20,000.00.
/s/ Christy Lillquist, attorney-in-fact
2021-02-03