ROKU, INC — Director's Dealing 2018

Mar 26, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2017-09-27

Reporting Person: Globespan Capital Partners V LP (10% Owner)
Reporting Person: Goldfarb Andrew P (10% Owner)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A Preferred	$		Class B Common Stock (166666)		Indirect
Series D Preferred	$		Class B Common Stock (3059947)		Indirect
Series E Preferred	$		Class B Common Stock (1236893)		Indirect
Series H Preferred	$		Class B Common Stock (218021)		Indirect
Series H Preferred	$		Class B Common Stock (545054)		Indirect

Footnotes

F1: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F2: Held directly by Globespan Capital Partners V, L.P. ("GCP V").

F3: Held directly by another fund affiliated with GCP V.

F4: The filing of this Form 3 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest.