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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

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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

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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	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

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.
Represents a pro-rata distribution by Luminari Capital, LP to its limited partners and general partners.
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.
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.