Form Type: 4

SEC EDGAR Link
Acccession Number:0001716837-19-000160
Date:2019-09-03
Issuer: ROKU, INC (ROKU)
Original Submission Date:

Reporting Person:

OZGEN MUSTAFA
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 2019-09-03 M 9,989 a $0.00 9,989 direct
CLASS A COMMON STOCK 2019-09-04 S 4,492 d $161.47 5,497 direct
CLASS A COMMON STOCK 2019-09-05 S 5,497 d $167.50 0 direct
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
RESTRICTED STOCK UNIT 0.0 2019-09-03 deemed execution date M 9,989 (d) 2019-06-01 class a common stock 9,989 $0.00 139,849 direct
Footnotes
IDfootnote
f1 these shares were sold by the company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award.
f2 shares sold pursuant to mr. ozgen's 10b5-1 plan.
f3 this rsu vests ratably in 16 quarterly installments with the first vest occurring on june 1, 2019.

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