ROKU, INC — Director's Dealing 2020

Nov 13, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2020-11-10

Reporting Person: Henricks Alan S. (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-10	Class A Common Stock	C	1000	$2.28	Acquired	7287	Direct
2020-11-10	Class A Common Stock	S	1000.0	$222.2388	Disposed	6287.0	Direct
2020-11-11	Class A Common Stock	G	1000	—	Disposed	5287	Direct
2020-11-11	Class A Common Stock	C	7000	$2.28	Acquired	12287	Direct
2020-11-11	Class A Common Stock	S	2000	$226.240100	Disposed	10287	Direct
2020-11-11	Class A Common Stock	S	5000	$228	Disposed	5287.0	Direct
2020-11-12	Class A Common Stock	C	2500	$2.28	Acquired	7787	Direct
2020-11-12	Class A Common Stock	S	2500	$235	Disposed	5287.0	Direct
2020-11-13	Class A Common Stock	C	7500.0	$2.28	Acquired	12787	Direct
2020-11-13	Class A Common Stock	S	5000	$233	Disposed	7787	Direct
2020-11-13	Class A Common Stock	S	2500	$235	Disposed	5287.0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-10	Employee Stock Option (Right to Buy)	$2.28	M	1000.0	Disposed	2022-05-01	Class B Common Stock (1000.0)	Direct
2020-11-10	Class B Common Stock	$2.28	M	1000.0	Acquired	2022-05-01	Class A Common Stock (1000.0)	Direct
2020-11-10	Class B Common Stock	$2.28	C	1000.0	Disposed	2022-05-01	Class A Common Stock (1000.0)	Direct
2020-11-11	Employee Stock Option (Right to Buy)	$2.28	M	7000	Disposed	2022-05-01	Class B Common Stock (7000)	Direct
2020-11-11	Class B Common Stock	$2.28	M	7000	Acquired	2022-05-01	Class A Common Stock (7000)	Direct
2020-11-11	Class B Common Stock	$2.28	C	7000	Disposed	2022-05-01	Class A Common Stock (7000)	Direct
2020-11-12	Employee Stock Option (Right to Buy)	$2.28	M	2500	Disposed	2022-05-01	Class B Common Stock (2500)	Direct
2020-11-12	Class B Common Stock	$2.28	M	2500	Acquired	2022-05-01	Class A Common Stock (2500)	Direct
2020-11-12	Class B Common Stock	$2.28	C	2500	Disposed	2022-05-01	Class A Common Stock (2500)	Direct
2020-11-13	Employee Stock Option (Right to Buy)	$2.28	M	7500.0	Disposed	2022-05-01	Class B Common Stock (7500)	Direct
2020-11-13	Class B Common Stock	$2.28	M	7500.0	Acquired	2022-05-01	Class A Common Stock (7500.0)	Direct
2020-11-13	Class B Common Stock	$2.28	C	7500.0	Disposed	2022-05-01	Class A Common Stock (7500)	Direct

Footnotes

F1: This stock option is fully vested.