ROKU, INC — Director's Dealing 2020

Sep 3, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2020-09-01

Reporting Person: Ozgen Mustafa (SVP and GM of Account Acquisit)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-01	Class A Common Stock	M	9990	—	Acquired	9990	Direct
2020-09-02	Class A Common Stock	S	5016	$177.3788	Disposed	4974	Direct
2020-09-03	Class A Common Stock	S	1356	$173.4159	Disposed	3618	Direct
2020-09-03	Class A Common Stock	S	1700	$174.1236	Disposed	1918	Direct
2020-09-03	Class A Common Stock	S	1918	$175.0911	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-01	Restricted Stock Unit	$0	M	9990	Disposed		Class A Common Stock (9990)	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. Ozgen'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 $172.78 to $173.71 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 $173.77 to $174.73 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 $174.77 to $175.51 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: This RSU vests ratably in 16 quarterly installments. The first installment vested on June 1, 2019.