ROKU, INC — Director's Dealing 2021

Dec 3, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2021-11-18

Reporting Person: Wood Anthony J. (Director, CEO and Chairman BOD, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-18	Class A Common Stock	C	135000	—	Acquired	160000	Indirect
2021-11-18	Class A Common Stock	G	135000	—	Disposed	25000	Indirect
2021-12-01	Class A Common Stock	C	40000	—	Acquired	65000.0	Indirect
2021-12-01	Class A Common Stock	C	45000	$2.76	Acquired	45000	Direct
2021-12-01	Class A Common Stock	G	45000	$2.76	Disposed	0.0	Direct
2021-12-01	Class A Common Stock	G	45000	$2.76	Acquired	110000	Indirect
2021-12-01	Class A Common Stock	S	10309	$207.6012	Disposed	99691	Indirect
2021-12-01	Class A Common Stock	S	5552	$208.583	Disposed	94139	Indirect
2021-12-01	Class A Common Stock	S	5406	$209.7394	Disposed	88733	Indirect
2021-12-01	Class A Common Stock	S	2056	$210.561	Disposed	86677	Indirect
2021-12-01	Class A Common Stock	S	1400	$211.8386	Disposed	85277	Indirect
2021-12-01	Class A Common Stock	S	2870	$213.1717	Disposed	82407	Indirect
2021-12-01	Class A Common Stock	S	3477	$214.0157	Disposed	78930	Indirect
2021-12-01	Class A Common Stock	S	6387	$215.0587	Disposed	72543	Indirect
2021-12-01	Class A Common Stock	S	4616	$215.947	Disposed	67927	Indirect
2021-12-01	Class A Common Stock	S	2100	$217.1709	Disposed	65827	Indirect
2021-12-01	Class A Common Stock	S	1000	$218.0471	Disposed	64827	Indirect
2021-12-01	Class A Common Stock	S	4740	$219.4245	Disposed	60087	Indirect
2021-12-01	Class A Common Stock	S	2500	$220.393	Disposed	57587	Indirect
2021-12-01	Class A Common Stock	S	2024	$221.6681	Disposed	55563	Indirect
2021-12-01	Class A Common Stock	S	2337	$222.4045	Disposed	53226	Indirect
2021-12-01	Class A Common Stock	S	1901	$223.5742	Disposed	51325	Indirect
2021-12-01	Class A Common Stock	S	5669	$225.0593	Disposed	45656	Indirect
2021-12-01	Class A Common Stock	S	8606	$225.5770	Disposed	37050	Indirect
2021-12-01	Class A Common Stock	S	4279	$226.7333	Disposed	32771	Indirect
2021-12-01	Class A Common Stock	S	5905	$227.7841	Disposed	26866	Indirect
2021-12-01	Class A Common Stock	S	400	$228.5825	Disposed	26466.0	Indirect
2021-12-01	Class A Common Stock	S	1455	$229.7759	Disposed	25011	Indirect
2021-12-01	Class A Common Stock	S	11	$230.73	Disposed	25000	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-18	Class B Common Stock	$0.0	C	135000	Disposed		Class A Common Stock (135000)	Indirect
2021-12-01	Class B Common Stock	$0	C	40000.0	Disposed		Class A Common Stock (40000)	Indirect
2021-12-01	Employee Stock Option (Right to Buy)	$2.76	M	45000	Disposed	2022-07-24	Class B Common Stock (45000)	Direct
2021-12-01	Class B Common Stock	$2.76	M	45000	Acquired	2022-07-24	Class A Common Stock (45000)	Direct
2021-12-01	Class B Common Stock	$2.76	C	45000	Disposed	2022-07-24	Class A Common Stock (45000)	Direct
2021-12-01	Employee Stock Option (right to buy)	$207.75	A	279	Acquired	2031-11-30	Class A Common Stock (279)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	36000.0	Indirect

Footnotes

F1: 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. Shares of Class B Common Stock will convert automatically into shares of 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, (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.

F2: Shares sold pursuant to a Rule 10b5-1 Sales Plan.

F3: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $207.18 to $208.17 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 $208.18 to $209.15 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 $209.19 to $210.18 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 $210.20 to $210.93 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 $211.47 to $212.45 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 $212.53 to $213.51 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.

F9: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $213.53 to $214.52 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: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $214.53 to $215.52 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.

F11: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $215.53 to $216.47 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.

F12: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $216.61 to $217.50 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.

F13: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $217.67 to $218.52 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.

F14: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $218.90 to $219.89 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.

F15: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $219.94 to $220.91 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.

F16: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $220.96 to $221.95 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.

F17: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $221.96 to $222.94 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.

F18: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.20 to $223.76 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.

F19: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.23 to $225.22 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.

F20: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.23 to $226.22 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.

F21: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.30 to $227.27 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.

F22: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.30 to $228.24 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.

F23: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.50 to $228.78 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.

F24: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $229.55 to $230.54 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.

F25: This stock option is fully vested.

F26: This stock option was awarded to the Reporting Person by the Issuer's Compensation Committee of the Board of Directors pursuant to the Issuer's Executive Supplemental Stock Option Program in exchange for a reduction in the monthly base salary of the Reporting Person of $20,000.00.