0001716837-21-000018.txt : 20210301 0001716837-21-000018.hdr.sgml : 20210301 20210301205934 ACCESSION NUMBER: 0001716837-21-000018 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210301 FILED AS OF DATE: 20210301 DATE AS OF CHANGE: 20210301 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: 21700814 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 2021-03-01 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 2021-03-01 4 C 0 45000 2.76 A 45000 D Class A Common Stock 2021-03-01 5 G 0 45000 2.76 D 0 D Class A Common Stock 2021-03-01 5 G 0 45000 2.76 A 70000 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 100 398.15 D 69900 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 600 399.7767 D 69300 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 500 400.7697 D 68800 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 2000 402.035 D 66800 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 1300 402.9131 D 65500 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 2357 404.2073 D 63143 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 2703 405.3058 D 60440 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 1202 406.3883 D 59238 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 1621 407.2853 D 57617 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 722 408.4517 D 56895 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 1400 409.534 D 55495 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 3572 410.5337 D 51923 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 2303 411.6269 D 49620 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 1800 412.5668 D 47820 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 3498 413.6143 D 44322 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 5319 414.704 D 39003 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 4335 415.6236 D 34668 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 3327 416.4067 D 31341 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 2261 417.7148 D 29080 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 1600 418.7931 D 27480 I Wood Revocable Trust Class A Common Stock 2021-03-01 4 S 0 2480 419.6706 D 25000 I Wood Revocable Trust Class A Common Stock 36000 I Wood 2020 Irrevocable Trust Employee Stock Option (Right to Buy) 2.76 2021-03-01 4 M 0 45000 2.76 D 2022-07-24 Class B Common Stock 45000 563333 D Class B Common Stock 2.76 2021-03-01 4 M 0 45000 2.76 A 2022-07-24 Class A Common Stock 45000 45000 D Class B Common Stock 2.76 2021-03-01 4 C 0 45000 2.76 D 2022-07-24 Class A Common Stock 45000 0 D Employee Stock Option (right to buy) 420.31 2021-03-01 4 A 0 138 0.0 A 2021-03-01 2031-02-28 Class A Common Stock 138 138 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 $399.33 to $400.15 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 $400.34 to $401.27 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 $401.55 to $402.48 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 $402.55 to $403.52 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 $403.85 to $404.84 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 $404.88 to $405.80 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 $405.90 to $406.85 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 $406.90 to $407.78 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 $407.91 to $408.84 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 $408.95 to $409.93 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 $410.02 to $410.97 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 $411.13 to $412.08 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 $412.14 to $413.06 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 $413.15 to $414.12 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 $414.15 to $415.14 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 $415.15 to $416.11 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 $416.15 to $416.87 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 $417.15 to $418.12 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 $418.20 to $419.14 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 $419.37 to $420.25 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. 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 2021-03-01