Filing Details

Accession Number:
0001716837-19-000107
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-06-07 16:51:26
Reporting Period:
2019-06-05
Accepted Time:
2019-06-07 16:51:26
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
1513957 S. Alan Henricks 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 2019-06-05 6,000 $2.28 11,222 No 4 C Direct
Class A Common Stock Disposition 2019-06-05 6,000 $100.00 5,222 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class B Common Stock Stock Option (right to buy) Disposition 2019-06-05 6,000 $2.28 6,000 $2.28
Class A Common Stock Class B Common Stock Acquisiton 2019-06-05 6,000 $2.28 6,000 $2.28
Class A Common Stock Class B Common Stock Disposition 2019-06-05 6,000 $2.28 6,000 $2.28
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
105,200 2022-05-01 No 4 M Direct
6,000 2022-05-01 No 4 M Direct
0 2022-05-01 No 4 C Direct
Footnotes
  1. Shares sold pursuant to Mr. Henrick's 10b5-1 plan dated November 13, 2018.
  2. 1/48 of the Option vests in equal monthly installments one month from 5/1/2012.
  3. 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.