Filing Details
- Accession Number:
- 0001716837-18-000037
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-05-30 17:47:26
- Reporting Period:
- 2018-05-25
- Accepted Time:
- 2018-05-30 17:47:26
- 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 |
|---|---|---|---|---|---|---|---|
| 1716838 | Chas Smith | C/O Roku, Inc. 150 Winchester Circle Los Gatos CA 95032 | Gm, Sr. Vp Roku Tv & Players | No | Yes | 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 | 2018-05-25 | 87,272 | $5.64 | 87,272 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2018-05-25 | 87,272 | $38.27 | 0 | 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 | Employee Stock Option (right to buy) | Disposition | 2018-05-25 | 26,593 | $5.64 | 26,593 | $5.64 |
| Class B Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-05-25 | 60,679 | $5.64 | 60,679 | $5.64 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2018-05-25 | 26,593 | $5.64 | 26,593 | $5.64 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2018-05-25 | 60,679 | $5.64 | 60,679 | $5.64 |
| Class A Common Stock | Class B Common Stock | Disposition | 2018-05-25 | 26,593 | $5.64 | 26,593 | $5.64 |
| Class A Common Stock | Class B Common Stock | Disposition | 2018-05-25 | 60,679 | $5.64 | 60,679 | $5.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 83,255 | 2026-05-16 | No | 4 | M | Direct | |
| 44,548 | 2025-03-23 | No | 4 | M | Direct | |
| 26,593 | 2026-05-16 | No | 4 | M | Direct | |
| 60,679 | 2025-03-23 | No | 4 | M | Direct | |
| 0 | 2026-05-16 | No | 4 | C | Direct | |
| 0 | 2025-03-23 | No | 4 | C | Direct |
Footnotes
- Granted March 23, 2015; 1/48 of the Option vests in equal monthly installments from 3/23/15.
- Granted November 8, 2016; 1/48 of the Option vests in equal monthly installments from 5/17/16 vest commencement date.
- Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.
- 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 5)
- (footnote 4 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.
Billionaire Hedge Funds
