Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
ROKU, INC
Jurisdiction of Incorporation/Organization
DE
Year of Incorporation/Organization
2008
Item 2 Issuer Principal Place of Business and Contact Information
12980 SARATOGA AVE.
SUITE D
SARATOGA, CA 95070
Phone Number:
subscription required
Item 3. Related Persons
Name
ANTHONY WOOD
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
SHAWN CAROLAN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
KIM J. FUNK
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
OLIVER HUTAFF
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ROBERT KYNCL
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JEFF HASTINGS
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
DANIEL LEFF
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JONATHAN MILLER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
ALAN HENDRICKS
Address
subscription required
Relationship(s)
Clarification of Response
Item 4. Industry Group
OTHER TECHNOLOGY
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
DECLINE TO DISCLOSE
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
03/05/2012
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
No
Item 9. Type(s) of Securities Offered
- Equity
- Debt
- Option, Warrant or Other Right to Acquire Another Security
- Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
- Other: WARRANTS,CONVERTIBLE PROMISSORY NOTES AND THE UNDERLYING SHARES OF PREFERRED STOCK AND COMMON STOCK ISSUABLE UPON THE EXERCISE OF THE WARRANTS,CONVERSION OF THE NOTES AND CONVERSION OF THE PREFERRED STOCK.
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 13. Offering and Sales Amounts
Total Offering Amount
6249999
Total Amount Sold
5000000
Total Remaining to be Sold
1249999
Clarification of Response
5,000,000 OF THE TOTAL AMOUNT SOLD REPRESENTS PROMISSORY NOTES ISSUED IN THE OFFERING AND $1,249,999 OF THE AMOUNT SOLD REPRESENTS THE TOTAL EXERCISE PRICE OF WARRANTS ISSUED IN THE OFFERING.
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
4
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response
Signature and Submission
Issuer Name
ROKU, INC
Issuer Signature
/S/ KIM J. FUNK
Signer Name
KIM J. FUNK
Signer Title
VP, GENERAL COUNSEL AND SECRETARY
Signature Date
08/07/2012