Filing Details

Accession Number:
0001716837-19-000051
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-03-18 21:24:15
Reporting Period:
2018-03-28
Accepted Time:
2019-03-18 21:24:15
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
1500899 A. Ray Rothrock C/o Roku, Inc.
150 Winchester Circle
Los Gatos CA 95032
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2018-03-28 69,444 $0.00 69,444 No 4 C Direct
Class A Common Stock Acquisiton 2018-03-28 90,579 $0.00 90,579 No 4 C Indirect See Footnote
Class A Common Stock Acquisiton 2018-05-08 2,870 $0.00 72,314 No 4 J Direct
Class A Common Stock Acquisiton 2018-05-08 7,960 $0.00 98,539 No 4 J Indirect See Footnote
Class A Common Stock Acquisiton 2019-03-14 13,889 $0.00 86,203 No 4 C Direct
Class A Common Stock Disposition 2019-03-14 15,000 $61.79 83,539 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Indirect See Footnote
No 4 J Direct
No 4 J Indirect See Footnote
No 4 C Direct
No 4 S Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Class B Common Stock Disposition 2018-03-28 69,444 $0.00 69,444 $0.00
Class A Common Stock Class B Common Stock Disposition 2018-03-28 90,579 $0.00 90,579 $0.00
Class A Common Stock Class B Common Stock Disposition 2019-03-14 13,889 $0.00 13,889 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
13,889 No 4 C Direct
0 No 4 C Indirect
0 No 4 C Direct
Footnotes
  1. Mr. Rothrock is a Manager of FiftySix Investments, LLC and may be deemed to have voting and investment power over the shares held by FiftySix Investments, LLC. Mr. Rothrock disclaims beneficial ownership of such shares, except to the extent of his pecuiary interest therein.
  2. Represents a pro-rata distribution by Luminari Capital, LP to its limited partners and general partners.
  3. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.74 to $62.07 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities adn Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  4. 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.