Roku Inc (NASDAQ:ROKU): Chase Coleman’s Tiger Global Management LLC filed an amended 13D.
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You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Tiger Global Investments | 0 | 1,500,000 | 0 | 1,500,000 | 1,500,000 | 9.6% |
| Tiger Global Performance | 0 | 1,500,000 | 0 | 1,500,000 | 1,500,000 | 9.6% |
| Tiger Global Management | 0 | 1,500,000 | 0 | 1,500,000 | 1,500,000 | 9.6% |
| Charles P. Coleman III | 0 | 1,500,000 | 0 | 1,500,000 | 1,500,000 | 9.6% |
| Scott Shleifer | 0 | 1,500,000 | 0 | 1,500,000 | 1,500,000 | 9.6% |
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Page 1 of 13 – SEC Filing
UNITED
STATES
SECURITIES AND
EXCHANGE COMMISSION
WASHINGTON,
DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.)*
| Roku, Inc. |
| (Name of Issuer) |
| Class A common stock, $0.0001 par value per share |
| (Title of Class of Securities) |
| 77543R102 |
| (CUSIP Number) |
| September 28, 2017 |
| (Date of Event Which Requires Filing of this Statement) |
Check the appropriate box to designate
the rule pursuant to which this Schedule is filed:
[_] Rule 13d-1(b)
[X] Rule 13d-1(c)
[_] Rule 13d-1(d)
__________
*The remainder of this cover page shall
be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any
subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information
required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities
Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).
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Page 2 of 13 – SEC Filing
| CUSIP No | 77543R102 |
| 1. | NAME OF REPORTING PERSONS | |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | ||
| Tiger Global Investments, L.P. | ||
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | |
| (a) [_] | ||
| (b) [X] | ||
| 3. | SEC USE ONLY | |
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| Cayman Islands | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | ||
| 5. | SOLE VOTING POWER | |
| 0 | ||
| 6. | SHARED VOTING POWER | |
| 1,500,000 | ||
| 7. | SOLE DISPOSITIVE POWER | |
| 0 | ||
| 8. | SHARED DISPOSITIVE POWER | |
| 1,500,000 | ||
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 1,500,000 | ||
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | |
| [_] | ||
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 9.6% | ||
| 12. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN | |
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Page 3 of 13 – SEC Filing
| CUSIP No | 77543R102 |
| 1. | NAME OF REPORTING PERSONS | |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | ||
| Tiger Global Performance, LLC | ||
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | |
| (a) [_] | ||
| (b) [X] | ||
| 3. | SEC USE ONLY | |
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| Delaware | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | ||
| 5. | SOLE VOTING POWER | |
| 0 | ||
| 6. | SHARED VOTING POWER | |
| 1,500,000 | ||
| 7. | SOLE DISPOSITIVE POWER | |
| 0 | ||
| 8. | SHARED DISPOSITIVE POWER | |
| 1,500,000 | ||
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 1,500,000 | ||
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | |
| [_] | ||
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 9.6% | ||
| 12. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO | |
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Page 4 of 13 – SEC Filing
| CUSIP No | 77543R102 |
| 1. | NAME OF REPORTING PERSONS | |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | ||
| Tiger Global Management, LLC | ||
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | |
| (a) [_] | ||
| (b) [X] | ||
| 3. | SEC USE ONLY | |
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| Delaware | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | ||
| 5. | SOLE VOTING POWER | |
| 0 | ||
| 6. | SHARED VOTING POWER | |
| 1,500,000 | ||
| 7. | SOLE DISPOSITIVE POWER | |
| 0 | ||
| 8. | SHARED DISPOSITIVE POWER | |
| 1,500,000 | ||
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 1,500,000 | ||
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | |
| [_] | ||
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 9.6% | ||
| 12. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO, IA | |
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Page 5 of 13 – SEC Filing
| CUSIP No | 77543R102 |
| 1. | NAME OF REPORTING PERSONS | |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | ||
| Charles P. Coleman III | ||
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | |
| (a) [_] | ||
| (b) [X] | ||
| 3. | SEC USE ONLY | |
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| United States | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | ||
| 5. | SOLE VOTING POWER | |
| 0 | ||
| 6. | SHARED VOTING POWER | |
| 1,500,000 | ||
| 7. | SOLE DISPOSITIVE POWER | |
| 0 | ||
| 8. | SHARED DISPOSITIVE POWER | |
| 1,500,000 | ||
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 1,500,000 | ||
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | |
| [_] | ||
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 9.6% | ||
| 12. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN, HC | |
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Page 6 of 13 – SEC Filing
| CUSIP No | 77543R102 |
| 1. | NAME OF REPORTING PERSONS | |
| I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) | ||
| Scott Shleifer | ||
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) | |
| (a) [_] | ||
| (b) [X] | ||
| 3. | SEC USE ONLY | |
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| United States | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | ||
| 5. | SOLE VOTING POWER | |
| 0 | ||
| 6. | SHARED VOTING POWER | |
| 1,500,000 | ||
| 7. | SOLE DISPOSITIVE POWER | |
| 0 | ||
| 8. | SHARED DISPOSITIVE POWER | |
| 1,500,000 | ||
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 1,500,000 | ||
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | |
| [_] | ||
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 9.6% | ||
12. | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN, HC | |
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Page 7 of 13 – SEC Filing
| CUSIP No | 77543R102 |
| Item 1. | (a). | Name of Issuer: | |
| Roku, Inc. |
| (b). | Address of Issuer’s Principal Executive Offices: | ||
| 150 Winchester Circle Los Gatos, California |
| Item 2. | (a). | Name of Person Filing: | |
| Tiger Global Investments, L.P Tiger Global Performance, LLC Tiger Global Management, LLC Charles P. Coleman III Scott Shleifer |
| (b). | Address of Principal Business Office, or if None, Residence: | ||
| Tiger Global Investments, L.P. c/o Citco Fund Services (Cayman Islands) Limited P.O. Box 31106 89 Nexus Way Camana Bay Grand Cayman KY1-1205 Cayman Islands Tiger Global Performance, LLC 9 West 57th Street 35th Floor New York, New York 10019 Tiger Global Management, LLC 9 West 57th Street 35th Floor New York, New York 10019 Charles P. Coleman III c/o Tiger Global Management, LLC 9 West 57th Street 35th Floor New York, New York 10019 Scott Shleifer c/o Tiger Global Management, LLC 9 West 57th Street 35th Floor New York, New York 10019 |
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Page 8 of 13 – SEC Filing
| (c). | Citizenship: Tiger Global Investments, L.P. – Cayman Islands limited partnership Tiger Global Performance, LLC – Delaware limited liability Tiger Global Management, LLC – Delaware limited liability Charles P. Coleman III – United States citizen Scott Shleifer – United States citizen | ||
| (d). | Title of Class of Securities: | ||
| Class A common stock, $0.0001 par value per share | |||
| (e). | CUSIP Number: | ||
| 77543R102 |
| Item 3. | If This Statement is filed pursuant to ss.240.13d-1(b) or 240.13d-2(b), or (c), check whether the person filing is a |
| (a) | [_] | Broker or dealer registered under Section 15 of the Exchange Act (15 U.S.C. 78c). |
| (b) | [_] | Bank as defined in Section 3(a)(6) of the Exchange Act (15 U.S.C. 78c). |
| (c) | [_] | Insurance company as defined in Section 3(a)(19) of the Exchange Act (15 U.S.C. 78c). |
| (d) | [_] | Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
| (e) | [_] | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
| (f) | [_] | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
| (g) | [_] | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
| (h) | [_] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.1813); |
| (i) | [_] | A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | [_] | Group, in accordance with s.240.13d-1(b)(1)(ii)(J). |
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Page 9 of 13 – SEC Filing
| Item 4. | Ownership. |
| Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. |
| (a) | Amount beneficially owned: |
| 1,500,000 shares deemed beneficially owned by Tiger Global Investments, 1,500,000 shares deemed beneficially owned by Tiger Global Performance, 1,500,000 shares deemed beneficially owned by Tiger Global Management, 1,500,000 shares deemed beneficially owned by Charles P. Coleman 1,500,000 shares deemed beneficially owned by Scott Shleifer |
| (b) | Percent of class: |
| 9.6% deemed beneficially owned by Tiger Global Investments, L.P. 9.6% deemed beneficially owned by Tiger Global Performance, LLC 9.6% deemed beneficially owned by Tiger Global Management, LLC 9.6% deemed beneficially owned by Charles P. Coleman III 9.6% deemed beneficially owned by Scott Shleifer |
| Number of shares as to which Tiger Global Investments, L.P. has: | ||||
| (i) | Sole power to vote or to direct the vote | 0 | ||
| (ii) | Shared power to vote or to direct the vote | 1,500,000 | ||
| (iii) | Sole power to dispose or to direct the disposition of | 0 | ||
| (iv) | Shared power to dispose or to direct the disposition of | 1,500,000 | ||
| Number of shares as to which Tiger Global Performance, LLC has: |
| (i) | Sole power to vote or to direct the vote | 0 | ||
| (ii) | Shared power to vote or to direct the vote | 1,500,000 | ||
| (iii) | Sole power to dispose or to direct the disposition of | 0 | ||
| (iv) | Shared power to dispose or to direct the disposition of | 1,500,000 |
| Number of shares as to which Tiger Global Management, LLC has: | ||||
| (i) | Sole power to vote or to direct the vote | 0 | ||
| (ii) | Shared power to vote or to direct the vote | 1,500,000 | ||
| (iii) | Sole power to dispose or to direct the disposition of | 0 | ||
| (iv) | Shared power to dispose or to direct the disposition of | 1,500,000 | ||
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Page 10 of 13 – SEC Filing
| Number of shares as to which Charles P. Coleman III has: |
| (i) | Sole power to vote or to direct the vote | 0 | ||
| (ii) | Shared power to vote or to direct the vote | 1,500,000 | ||
| (iii) | Sole power to dispose or to direct the disposition of | 0 | ||
| (iv) | Shared power to dispose or to direct the disposition of | 1,500,000 |
| Number of shares as to which Scott Shleifer has: |
| (i) | Sole power to vote or to direct the vote | 0 | ||
| (ii) | Shared power to vote or to direct the vote | 1,500,000 | ||
| (iii) | Sole power to dispose or to direct the disposition of | 0 | ||
| (iv) | Shared power to dispose or to direct the disposition of | 1,500,000 |
| Item 5. | Ownership of Five Percent or Less of a Class. |
| If this statement is being filed to report | |
| N/A | |
| Item 6. | Ownership of More Than Five Percent on Behalf of Another Person. |
| If any other person is known to have the right | |
| All securities | |
| Item 7. | Identification and Classification of the Subsidiary |
| If a parent holding company has filed this | |
| N/A | |
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Page 11 of 13 – SEC Filing
| Item 8. | Identification and Classification of Members of the Group. |
| If a group has filed | |
| N/A | |
| Item 9. | Notice of Dissolution of Group. |
| Notice of dissolution | ||
| N/A | ||
| Item 10. | Certification. |
| By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11. |
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Page 12 of 13 – SEC Filing
SIGNATURE
After reasonable
inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete
and correct.
| October 5, 2017 | ||
| (Date) | ||
| Tiger Global Investments, L.P. By Tiger Global Performance, LLC Its General Partner | /s/ Anil L. Crasto | |
| Tiger Global Performance, LLC | /s/ Anil L. Crasto | |
| Tiger Global Management, LLC | /s/ Anil L. Crasto Signature Anil L. Crasto Chief Operating Officer | |
| Charles P. Coleman III | /s/ Charles P. Coleman III Signature | |
| Scott Shleifer | /s/ Scott Shleifer Signature | |
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Page 13 of 13 – SEC Filing
Exhibit A
AGREEMENT
The undersigned
agree that this Schedule 13G dated October 5, 2017 relating to the Class A common stock, $0.0001 par value per share of Roku,
Inc. shall be filed on behalf of the undersigned.
| Tiger Global Investments, L.P. By Tiger Global Performance, LLC Its General Partner | /s/ Anil L. Crasto | |
| Tiger Global Performance, LLC | /s/ Anil L. Crasto | |
| Tiger Global Management, LLC | /s/ Anil L. Crasto Signature Anil L. Crasto Chief Operating Officer | |
| Charles P. Coleman III | /s/ Charles P. Coleman III Signature | |
| Scott Shleifer | /s/ Scott Shleifer Signature |
SK
03559 0004 7668331
