ROKU, INC — Director's Dealing 2018

Sep 27, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2018-09-25

Reporting Person: Smith Chas (GM, Sr. VP Roku TV & Players)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-09-25	Class A Common Stock	C	13409	$5.64	Acquired	13409	Direct
2018-09-25	Class A Common Stock	S	13409	$72.6397	Disposed	0	Direct
2018-09-25	Class A Common Stock	C	62500	$5.64	Acquired	62500	Direct
2018-09-25	Class A Common Stock	S	62500	$72.6397	Disposed	0	Direct
2018-09-25	Class A Common Stock	C	6902	$5.64	Acquired	6902	Direct
2018-09-25	Class A Common Stock	S	6902	$72.6397	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-09-25	Employee Stock Option (right to buy)	$5.64	M	13409	Disposed	2025-03-22	Class B Common Stock (13409)	Direct
2018-09-25	Class B Common Stock	$5.64	M	13409	Acquired	2025-03-22	Class A Common Stock (13409)	Direct
2018-09-25	Class B Common Stock	$5.64	C	13409	Disposed	2025-03-22	Class A Common Stock (13409)	Direct
2018-09-25	Employee Stock Option (right to buy)	$5.64	M	62500	Disposed	2025-03-22	Class B Common Stock (62500)	Direct
2018-09-25	Class B Common Stock	$5.64	M	62500	Acquired	2025-03-22	Class A Common Stock (62500)	Direct
2018-09-25	Class B Common Stock	$5.64	C	62500	Disposed	2025-03-22	Class A Common Stock (62500)	Direct
2018-09-25	Employee Stock Option (right to buy)	$5.64	M	6902	Disposed	2026-05-16	Class B Common Stock (6902)	Direct
2018-09-25	Class B Common Stock	$5.64	M	6902	Acquired	2026-05-16	Class A Common Stock (6902)	Direct
2018-09-25	Class B Common Stock	$5.64	C	6902	Disposed	2026-05-16	Class A Common Stock (6902)	Direct

Footnotes

F1: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated June 8, 2018.

F2: 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 3)

F3: (footnote 2 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.

F4: Option granted March 23, 2015. Vest base date 3/23/15, vests monthly over 48 months with final vest on 3/23/2019.

F5: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.68 to $73.67 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.

F6: Option granted March 23, 2015. Vest base date 9/1/16, vests monthly over 24 months with final vest on 9/1/18.

F7: Option granted November 8, 2016. Vest base date 5/17/16, vests monthly over 48 months with final vest on 5/17/2020.