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ROKU, INC — Director's Dealing 2017
Sep 27, 2017
30414_dirs_2017-09-27_2d6c76c6-778a-4c06-870f-03d8b1fbcc6f.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2017-09-27
Reporting Person: Smith Chas (GM, Sr. VP Roku TV & Players)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class B Common Stock | $ | Class A Common Stock (138726) | Direct | ||
| Stock Option (right to buy) | $2.76 | 2022-10-29 | Class B Common Stock (297101) | Direct | |
| Stock Option (right to buy) | $2.76 | 2022-10-29 | Class B Common Stock (36231) | Direct | |
| Stock Option (right to buy) | $5.64 | 2025-03-22 | Class B Common Stock (250000) | Direct | |
| Stock Option (right to buy) | $5.64 | 2025-03-22 | Class B Common Stock (124999) | Direct | |
| Stock Option (right to buy) | $5.64 | 2026-05-16 | Class B Common Stock (124999) | Direct | |
| Stock Option (right to buy) | $5.64 | 2026-11-07 | Class B Common Stock (133333) | Direct | |
| Stock Option (right to buy) | $8.82 | 2027-08-14 | Class B Common Stock (83332) | Direct |
Footnotes
F1: 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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, 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, (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.
F2: The Option is fully vested.
F3: 1/24 of the Option vests in equal monthly installments one month from 9/1/2016. The shares subject to this option are early exercisable, subject to the Issuer's right to repurchase.
F4: 1/48 of the Option vests in equal monthly installments one month from 3/23/2015. The shares subject to this option are early exercisable, subject to the Issuer's right to repurchase.
F5: 1/48 of the Option vests in equal monthly installments one month from 5/17/2016. The shares subject to this option are early exercisable, subject to the Issuer's right to repurchase.
F6: 1/12 of the Option vests in equal monthly installments one month from 9/2/2018. The shares subject to this option are early exercisable, subject to the Issuer's right to repurchase.
F7: 1/12 of the Option vests in equal monthly installments one month from 9/3/2019. The shares subject to this option are early exercisable, subject to the Issuer's right to repurchase.