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Filing Details

Accession Number:: 0001716837-18-000044
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-06-15 18:06:25
Reporting Period:: 2018-06-13

Accepted Time:: 2018-06-15 18:06:25
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1428439	Roku Inc	ROKU	Cable & Other Pay Television Services (4841)	262087865

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1716837	J. Anthony Wood	C/O Roku, Inc. 150 Winchester Circle Los Gatos CA 95032	Ceo And Chairman Bod	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Class A Common Stock	Acquisiton	2018-06-13	123,587	$0.16	125,179	No	4	C	Direct
Class A Common Stock	Disposition	2018-06-13	123,587	$43.00	1,592	No	4	S	Direct
Class A Common Stock	Acquisiton	2018-06-14	123,568	$0.16	125,160	No	4	C	Direct
Class A Common Stock	Disposition	2018-06-14	123,587	$44.45	1,592	No	4	S	Direct
Class A Common Stock	Acquisiton	2018-06-15	1,404	$0.00	2,996	No	4	C	Direct
Class A Common Stock	Disposition	2018-06-15	1,404	$43.97	1,592	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	S	Direct
No	4	C	Direct
No	4	S	Direct
No	4	C	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class B Common Stock	Employee Stock Option (right to buy)	Disposition	2018-06-13	248,150	$0.16	248,150	$0.16
Class A Common Stock	Class B Common Stock	Acquisiton	2018-06-13	248,150	$0.16	248,150	$0.16
Class A Common Stock	Class B Common Stock	Disposition	2018-06-13	123,587	$0.16	123,587	$0.16
Class B Common Stock	Employee Stock Option (right to buy)	Disposition	2018-06-14	248,149	$0.16	248,149	$0.16
Class A Common Stock	Class B Common Stock	Acquisiton	2018-06-14	248,149	$0.16	248,149	$0.16
Class A Common Stock	Class B Common Stock	Disposition	2018-06-14	123,568	$0.16	123,568	$0.16
Class A Common Stock	Class B Common Stock	Disposition	2018-06-15	1,404	$0.00	1,404	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,737,046	2009-09-19	2018-11-17	No	4	M	Direct
248,150		2018-11-17	No	4	M	Direct
124,563		2018-11-17	No	4	C	Direct
1,488,897	2009-09-19	2018-11-17	No	4	M	Direct
372,172		2018-11-17	No	4	M	Direct
249,144		2018-11-17	No	4	C	Direct
247,740		2018-11-17	No	4	C	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Class A Common Stock	Class B Common Stock	$0.00			20,428,391	20,428,391	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	20,428,391	20,428,391	Indirect

Footnotes

Granted September 19, 2008. 25% of initial grant vested on September 19, 2009 and the remaining 3/4 vested in equal monthly increments thereafter. The grant was fully vested on September 19, 2012..
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. The Class B Common Stock will convert automatically into 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, (continued on footnote 3)
(footnote 2 continued), (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 Mr. Wood's 10b5-1 plan.
Transfer on 5/11/18 of Class B Common Stock held by Anthony Wood to the Wood Revocable Trust.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.92 to $43.86 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 $42.79 to $45.7663 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.
Additional shares sold to cover taxes.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.9201 to $44.3289 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.
100% vested Class B shares.