Form Type: 4

SEC EDGAR Link
Acccession Number:0001716837-19-000164
Date:2019-09-06
Issuer: ROKU, INC (ROKU)
Original Submission Date:

Reporting Person:

ROSENBERG SCOTT A.
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 2019-09-06 C 13,000 a $8.82 41,910 direct
CLASS A COMMON STOCK 2019-09-06 S 13,000 d $165.47 28,910 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
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 8.82 2019-09-06 deemed execution date M 13,000 (d) 2027-08-14 class b common stock 13,000 $8.82 95,666 direct
CLASS B COMMON STOCK 8.82 2019-09-06 deemed execution date M 13,000 (a) 2027-08-14 class a common stock 13,000 $8.82 13,000 direct
CLASS B COMMON STOCK 8.82 2019-09-06 deemed execution date C 13,000 (d) 2027-08-14 class a common stock 0 $8.82 0 direct
Footnotes
IDfootnote
f1 shares sold pursuant to mr. rosenberg's 10b5-1 plan.
f2 this option vests in 48 equal monthly installments. the first installment vested on 9/15/2017.
f3 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.

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