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ROKU, INC — Director's Dealing 2018
May 30, 2018
30414_dirs_2018-05-30_8a94d73b-4e84-4e50-b667-c94419a791cf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2018-05-25
Reporting Person: Smith Chas (GM, Sr. VP Roku TV & Players)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-05-25 | Class A Common Stock | C | 87272 | $5.64 | Acquired | 87272 | Direct |
| 2018-05-25 | Class A Common Stock | S | 87272 | $38.2687 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-05-25 | Employee Stock Option (right to buy) | $5.64 | M | 26593 | Disposed | 2026-05-16 | Class B Common Stock (26593) | Direct |
| 2018-05-25 | Employee Stock Option (right to buy) | $5.64 | M | 60679 | Disposed | 2025-03-23 | Class B Common Stock (60679) | Direct |
| 2018-05-25 | Class B Common Stock | $5.64 | M | 26593 | Acquired | 2026-05-16 | Class A Common Stock (26593) | Direct |
| 2018-05-25 | Class B Common Stock | $5.64 | M | 60679 | Acquired | 2025-03-23 | Class A Common Stock (60679) | Direct |
| 2018-05-25 | Class B Common Stock | $5.64 | C | 26593 | Disposed | 2026-05-16 | Class A Common Stock (26593) | Direct |
| 2018-05-25 | Class B Common Stock | $5.64 | C | 60679 | Disposed | 2025-03-23 | Class A Common Stock (60679) | Direct |
Footnotes
F1: Granted March 23, 2015; 1/48 of the Option vests in equal monthly installments from 3/23/15.
F2: Granted November 8, 2016; 1/48 of the Option vests in equal monthly installments from 5/17/16 vest commencement date.
F3: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.
F4: 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)
F5: (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.