ROKU, INC — Director's Dealing 2020

Jun 3, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2020-06-01

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-06-01	Class A Common Stock	M	9989	—	Acquired	9989	Direct
2020-06-02	Class A Common Stock	S	5025	$111.327	Disposed	4964	Direct
2020-06-03	Class A Common Stock	S	1427	$107.5324	Disposed	3537	Direct
2020-06-03	Class A Common Stock	S	2800	$108.5953	Disposed	737	Direct
2020-06-03	Class A Common Stock	S	650	$109.1515	Disposed	87	Direct
2020-06-03	Class A Common Stock	S	87	$111.1322	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-06-01	Restricted Stock Unit	$0	M	9989	Disposed		Class A Common Stock (9989)	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 $106.98 to $107.85 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 $108.00 to $108.99 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 $109.01 to $109.31 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 $111.00 to $111.23 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: This RSU vests ratably in 16 quarterly installments. The first installment vested on June 1, 2019.