Form Type: 4

SEC EDGAR Link
Acccession Number:0001716837-19-000139
Date:2019-08-01
Issuer: ROKU, INC (ROKU)
Original Submission Date:

Reporting Person:

WOOD ANTHONY J.
C/O ROKU, INC.
150 WINCHESTER CIRCLE LOS GATOS, CA 95032

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2019-08-01 C 35,000 a $0.00 71,592 indirect
CLASS A COMMON STOCK 2019-08-01 S 1,500 d $99.95 70,092 indirect
CLASS A COMMON STOCK 2019-08-01 S 9,176 d $100.87 60,916 indirect
CLASS A COMMON STOCK 2019-08-01 S 2,580 d $101.64 58,336 indirect
CLASS A COMMON STOCK 2019-08-01 S 1,600 d $102.63 56,736 indirect
CLASS A COMMON STOCK 2019-08-01 S 6,088 d $104.22 50,648 indirect
CLASS A COMMON STOCK 2019-08-01 S 13,856 d $105.07 36,792 indirect
CLASS A COMMON STOCK 2019-08-01 S 200 d $105.59 36,592 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 100.845 2019-08-01 deemed execution date A 1,033 (a) 2019-08-01 2029-07-31 class a common stock 1,033 $100.85 1,033 direct
CLASS B COMMON STOCK 0.0 2019-08-01 deemed execution date C 35,000 (d) class a common stock 35,000 $0.00 19,570,233 indirect wood revocable trust
Footnotes
IDfootnote
f1 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.
f2 shares sold pursuant to a rule 10b5-1 sales plan.
f3 the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $99.28 to $100.20 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.
f4 the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $100.32 to $101.27 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.
f5 the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $101.32 to $102.27 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.
f6 the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $102.32 to $103.09 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.
f7 the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $103.57 to $104.56 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.
f8 the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $104.58 to $105.57 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.
f9 the reported price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $105.58 to $105.59 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.
f10 the stock option is fully vested.
f11 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 annual base salary of the reporting person of $41,666.67.

Elevate your investments