0001716837-22-000009.txt : 20220216 0001716837-22-000009.hdr.sgml : 20220216 20220216174437 ACCESSION NUMBER: 0001716837-22-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220215 FILED AS OF DATE: 20220216 DATE AS OF CHANGE: 20220216 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: 22644873 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 2022-02-15 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 2022-02-15 4 C 0 40000 A 65000 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 C 0 40000 5.64 A 40000 D Class A Common Stock 2022-02-15 5 G 0 40000 5.64 D 0.0 D Class A Common Stock 2022-02-15 5 G 0 40000 5.64 A 105000 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 1900 157.4709 D 103100 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 2896 158.7061 D 100204 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 3891 159.7967 D 96313 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 4900 160.7025 D 91413 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 4625 161.5498 D 86788 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 6906 162.738 D 79882 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 11091 163.706 D 68791 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 10418 164.6496 D 58373 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 10100 165.5602 D 48273 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 10800 166.5936 D 37473 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 7149 167.8891 D 30324 I Wood Revocable Trust Class A Common Stock 2022-02-15 4 S 0 5324 168.3414 D 25000 I Wood Revocable Trust Class A Common Stock 36000.0 I Wood 2020 Irrevocable Trust Class B Common Stock 0 2022-02-15 4 C 0 40000 0 D Class A Common Stock 40000 15995815 I Wood Revocable Trust Employee Stock Option (Right to Buy) 5.64 2022-02-15 4 M 0 40000 5.64 D 2025-08-10 Class B Common Stock 40000 704163 D Class B Common Stock 5.64 2022-02-15 4 M 0 40000 5.64 A 2025-08-10 Class A Common Stock 40000 40000 D Class B Common Stock 5.64 2022-02-15 4 C 0 40000 5.64 D 2025-08-10 Class A Common Stock 40000 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 $157.01 to $157.99 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $158.11 to $159.09 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 $159.14 to $160.13 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $160.15 to $161.14 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 $161.15 to $161.95 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 $162.15 to $163.12 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 $163.15 to $164.14 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 $164.15 to $165.13 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. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $165.15 to $166.10 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 $166.15 to $167.08 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 $167.17 to $168.16 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 $168.17 to $168.56 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. This stock option is fully vested. /s/ Christy Lillquist, attorney-in-fact 2022-02-16