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Filing Details

Accession Number:: 0001716837-21-000140
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-10-05 17:47:18
Reporting Period:: 2021-10-01

Accepted Time:: 2021-10-05 17:47:18
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
1716837	J. Anthony Wood	C/O Roku, Inc. 1155 Coleman San Jose CA 95110	Ceo And Chairman Bod	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2021-10-01	40,000	$0.00	65,000	No	4	C	Indirect	Wood Revocable Trust
Class A Common Stock	Acquisiton	2021-10-01	45,000	$2.76	45,000	No	4	C	Direct
Class A Common Stock	Disposition	2021-10-01	45,000	$2.76	0	No	5	G	Direct
Class A Common Stock	Acquisiton	2021-10-01	45,000	$2.76	110,000	No	5	G	Indirect	Wood Revocable Trust
Class A Common Stock	Disposition	2021-10-01	9,433	$307.22	100,567	No	4	S	Indirect	Wood Revocable Trust
Class A Common Stock	Disposition	2021-10-01	12,108	$308.14	88,459	No	4	S	Indirect	Wood Revocable Trust
Class A Common Stock	Disposition	2021-10-01	14,674	$309.00	73,785	No	4	S	Indirect	Wood Revocable Trust
Class A Common Stock	Disposition	2021-10-01	13,051	$310.07	60,734	No	4	S	Indirect	Wood Revocable Trust
Class A Common Stock	Disposition	2021-10-01	11,070	$311.08	49,664	No	4	S	Indirect	Wood Revocable Trust
Class A Common Stock	Disposition	2021-10-01	11,999	$312.10	37,665	No	4	S	Indirect	Wood Revocable Trust
Class A Common Stock	Disposition	2021-10-01	6,564	$312.88	31,101	No	4	S	Indirect	Wood Revocable Trust
Class A Common Stock	Disposition	2021-10-01	6,101	$314.06	25,000	No	4	S	Indirect	Wood Revocable Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	Wood Revocable Trust
No	4	C	Direct
No	5	G	Direct
No	5	G	Indirect	Wood Revocable Trust
No	4	S	Indirect	Wood Revocable Trust
No	4	S	Indirect	Wood Revocable Trust
No	4	S	Indirect	Wood Revocable Trust
No	4	S	Indirect	Wood Revocable Trust
No	4	S	Indirect	Wood Revocable Trust
No	4	S	Indirect	Wood Revocable Trust
No	4	S	Indirect	Wood Revocable Trust
No	4	S	Indirect	Wood Revocable Trust

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	2021-10-01	40,000	$0.00	40,000	$0.00
Class B Common Stock	Employee Stock Option (Right to Buy)	Disposition	2021-10-01	45,000	$2.76	45,000	$2.76
Class A Common Stock	Class B Common Stock	Acquisiton	2021-10-01	45,000	$2.76	45,000	$2.76
Class A Common Stock	Class B Common Stock	Disposition	2021-10-01	45,000	$2.76	45,000	$2.76
Class A Common Stock	Employee Stock Option (right to buy)	Acquisiton	2021-10-01	184	$0.00	184	$314.46

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
16,535,815			No	4	C	Indirect
90,000		2022-07-24	No	4	M	Direct
45,000		2022-07-24	No	4	M	Direct
0		2022-07-24	No	4	C	Direct
184	2021-10-01	2031-09-30	No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	36,000	Indirect	Wood 2020 Irrevocable Trust

Footnotes

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.
Shares sold pursuant to a Rule 10b5-1 Sales Plan.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $306.57 to $307.56 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $307.57 to $308.56 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $308.57 to $309.56 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $309.57 to $310.55 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $310.57 to $311.55 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $311.59 to $312.58 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $312.59 to $313.54 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $313.64 to $314.24 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
This stock option is fully vested.
This stock option was awarded to the Reporting Person by the Issuer's Compensation Committee of the Board of Directors pursuant to the Issuer's Executive Supplemental Stock Option Program in exchange for a reduction in the monthly base salary of the Reporting Person of $20,000.00.