0001716837-21-000011.txt : 20210218 0001716837-21-000011.hdr.sgml : 20210218 20210218190120 ACCESSION NUMBER: 0001716837-21-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210216 FILED AS OF DATE: 20210218 DATE AS OF CHANGE: 20210218 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: 21651319 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 2021-02-16 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 2021-02-16 4 C 0 25000 2.76 A 25000 D Class A Common Stock 2021-02-16 5 G 0 25000 2.76 D 0 D Class A Common Stock 2021-02-16 5 G 0 25000 2.76 A 50000 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 3000 467.1178 D 47000 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 1700 467.98 D 45300 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 2262 469.1937 D 43038 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 1522 470.3776 D 41516 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 1666 471.2449 D 39850 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 2800 472.6768 D 37050 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 1502 473.7267 D 35548 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 1300 474.5815 D 34248 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 300 476.1233 D 33948 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 400 477.5175 D 33548 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 1100 478.9509 D 32448 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 409 480.235 D 32039 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 800 481.1662 D 31239 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 1800 482.2872 D 29439 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 1945 483.2347 D 27494 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 1404 484.5119 D 26090 I Wood Revocable Trust Class A Common Stock 2021-02-16 4 S 0 1090 485.3798 D 25000 I Wood Revocable Trust Class A Common Stock 36000 I Wood 2020 Irrevocable Trust Employee Stock Option (Right to Buy) 2.76 2021-02-16 4 M 0 25000 2.76 D 2022-07-24 Class B Common Stock 25000 608333 D Class B Common Stock 2.76 2021-02-16 4 M 0 25000 2.76 A 2022-07-24 Class A Common Stock 25000 25000 D Class B Common Stock 2.76 2021-02-16 4 C 0 25000 2.76 D 2022-07-24 Class A Common Stock 25000 0 D 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 $466.55 to $467.47 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 $467.59 to $468.48 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 $468.77 to $469.76 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 $469.78 to $470.67 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 $470.85 to $471.79 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 $472.15 to $473.11 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 $473.21 to $474.15per 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 $474.23 to $475.19 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 $475.88 to $476.45 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 $477.35 to $477.96 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 $478.55 to $479.39 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 $479.72 to $480.70 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 $480.72 to $481.57 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 $481.78 to $482.68 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 $482.81 to $483.62 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 $483.88 to $484.85 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 $484.94 to $485.90 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. This stock option is fully vested. 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. /s/ Christy Lillquist, attorney-in-fact 2021-02-18