ROKU, INC — Director's Dealing 2020

Nov 18, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2020-11-16

Reporting Person: Rosenberg Scott A. (GM, Sr. VP Platform Business)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-16	Class A Common Stock	M	9419	—	Acquired	29687	Direct
2020-11-17	Class A Common Stock	S	4731	$237.8066	Disposed	24956	Direct
2020-11-18	Class A Common Stock	S	120	$233.0383	Disposed	24836	Direct
2020-11-18	Class A Common Stock	S	886	$233.9031	Disposed	23950	Direct
2020-11-18	Class A Common Stock	S	1150	$234.8561	Disposed	22800	Direct
2020-11-18	Class A Common Stock	S	482	$235.7389	Disposed	22318	Direct
2020-11-18	Class A Common Stock	S	1300	$237.1002	Disposed	21018	Direct
2020-11-18	Class A Common Stock	S	600	$238.2526	Disposed	20418	Direct
2020-11-18	Class A Common Stock	S	150	$238.8442	Disposed	20268	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-16	Restricted Stock Unit	$0.0	M	3356.0	Disposed		Class A Common Stock (3356.0)	Direct
2020-11-16	Restricted Stock Unit	$0	M	6063	Disposed		Class A Common Stock (6063)	Direct

Footnotes

F1: These shares were sold by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award.

F2: Shares sold pursuant to Mr. Rosenberg's 10b5-1 plan.

F3: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $232.38 to $233.37 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.

F4: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $233.39 to $234.34 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.

F5: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.40 to $235.27 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.

F6: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $235.41 to $236.40 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.

F7: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $236.55 to $237.53 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.

F8: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $237.76 to $238.65 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.

F9: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $238.79 to $239.10 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.

F10: This RSU vests ratably in 12 quarterly installments. The first installment vested on November 15, 2018.

F11: This RSU vests ratably in 4 quarterly installments. The first installment vested on November 15, 2020.