ROKU, INC — Director's Dealing 2021

Jun 16, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2021-06-15

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
2021-06-15	Class A Common Stock	C	5000.0	—	Acquired	30000.0	Indirect
2021-06-15	Class A Common Stock	C	75000	$2.76	Acquired	75000	Direct
2021-06-15	Class A Common Stock	G	75000	$2.76	Disposed	0.0	Direct
2021-06-15	Class A Common Stock	G	75000	$2.76	Acquired	105000	Indirect
2021-06-15	Class A Common Stock	S	4226	$338.7865	Disposed	100774	Indirect
2021-06-15	Class A Common Stock	S	15320	$339.8192	Disposed	85454	Indirect
2021-06-15	Class A Common Stock	S	12918	$340.5871	Disposed	72536	Indirect
2021-06-15	Class A Common Stock	S	6560	$341.6185	Disposed	65976	Indirect
2021-06-15	Class A Common Stock	S	3692	$342.5295	Disposed	62284	Indirect
2021-06-15	Class A Common Stock	S	1450	$343.6484	Disposed	60834	Indirect
2021-06-15	Class A Common Stock	S	3095	$344.7566	Disposed	57739	Indirect
2021-06-15	Class A Common Stock	S	6519	$345.6142	Disposed	51220	Indirect
2021-06-15	Class A Common Stock	S	2400	$346.3766	Disposed	48820	Indirect
2021-06-15	Class A Common Stock	S	2918	$348.5106	Disposed	45902	Indirect
2021-06-15	Class A Common Stock	S	4030	$349.4453	Disposed	41872	Indirect
2021-06-15	Class A Common Stock	S	1546	$350.31	Disposed	40326	Indirect
2021-06-15	Class A Common Stock	S	1900	$351.5028	Disposed	38426	Indirect
2021-06-15	Class A Common Stock	S	923	$352.56	Disposed	37503	Indirect
2021-06-15	Class A Common Stock	S	600	$353.63	Disposed	36903	Indirect
2021-06-15	Class A Common Stock	S	2246	$355.1418	Disposed	34657	Indirect
2021-06-15	Class A Common Stock	S	2201	$356.1944	Disposed	32456	Indirect
2021-06-15	Class A Common Stock	S	1920	$357.4127	Disposed	30536	Indirect
2021-06-15	Class A Common Stock	S	1404	$358.2436	Disposed	29132	Indirect
2021-06-15	Class A Common Stock	S	1932	$359.3597	Disposed	27200	Indirect
2021-06-15	Class A Common Stock	S	1200	$360.0633	Disposed	26000	Indirect
2021-06-15	Class A Common Stock	S	1000.0	$361.779	Disposed	25000.0	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-06-15	Class B Common Stock	$0	C	5000.0	Disposed		Class A Common Stock (5000.0)	Indirect
2021-06-15	Employee Stock Option (Right to Buy)	$2.76	M	25000	Disposed	2022-07-24	Class B Common Stock (25000)	Direct
2021-06-15	Class B Common Stock	$2.76	M	25000	Acquired	2022-07-24	Class A Common Stock (25000)	Direct
2021-06-15	Class B Common Stock	$2.76	C	25000	Disposed	2022-07-24	Class A Common Stock (25000)	Direct
2021-06-15	Employee Stock Option (Right to Buy)	$2.76	M	50000.0	Disposed	2022-07-24	Class B Common Stock (50000)	Direct
2021-06-15	Class B Common Stock	$2.76	M	50000	Acquired	2022-07-24	Class A Common Stock (50000.0)	Direct
2021-06-15	Class B Common Stock	$2.76	C	50000	Disposed	2022-07-24	Class A Common Stock (50000)	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 $338.12 to $339.11 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 $339.12 to $340.11 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 $340.13 to $341.12 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 $341.13 to $342.10 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.

F7: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $342.13 to $343.10 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.

F8: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $343.16 to $344.14 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 $344.18 to $345.17 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.

F10: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $345.18 to $346.13 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 $346.19 to $346.65 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.

F12: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $347.90 to $348.88 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 $348.92 to $349.91 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.

F14: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $349.98 to $350.79 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 $350.99 to $351.94 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.

F16: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $352.05 to $353.03 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 $353.21 to $353.89 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.

F18: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $354.64 to $355.55 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 $355.78 to $356.65 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.

F20: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $356.79 to $357.77 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 $357.82 to $358.74 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 $358.85 to $359.83 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 $359.85 to $360.73 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.

F24: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $361.52 to $361.89 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.

F25: This stock option is fully vested.