ROKU, INC — Director's Dealing 2021

Jul 6, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ROKU, INC (ROKU)
CIK: 0001428439
Period of Report: 2021-07-01

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
2021-07-01	Class A Common Stock	C	40000	—	Acquired	65000.0	Indirect
2021-07-01	Class A Common Stock	C	45000	$2.76	Acquired	45000	Direct
2021-07-01	Class A Common Stock	G	45000	$2.76	Disposed	0.0	Direct
2021-07-01	Class A Common Stock	G	45000	$2.76	Acquired	110000	Indirect
2021-07-01	Class A Common Stock	S	7372	$434.2891	Disposed	102628	Indirect
2021-07-01	Class A Common Stock	S	6581	$435.2301	Disposed	96047	Indirect
2021-07-01	Class A Common Stock	S	9731	$436.2767	Disposed	86316	Indirect
2021-07-01	Class A Common Stock	S	14766	$437.2363	Disposed	71550	Indirect
2021-07-01	Class A Common Stock	S	12000	$438.197	Disposed	59550	Indirect
2021-07-01	Class A Common Stock	S	5551	$439.2673	Disposed	53999	Indirect
2021-07-01	Class A Common Stock	S	5010	$440.064	Disposed	48989	Indirect
2021-07-01	Class A Common Stock	S	1536	$441.1711	Disposed	47453	Indirect
2021-07-01	Class A Common Stock	S	785	$442.5816	Disposed	46668	Indirect
2021-07-01	Class A Common Stock	S	500	$443.42	Disposed	46168	Indirect
2021-07-01	Class A Common Stock	S	1900	$444.897	Disposed	44268	Indirect
2021-07-01	Class A Common Stock	S	4800	$445.7636	Disposed	39468	Indirect
2021-07-01	Class A Common Stock	S	3700	$446.7489	Disposed	35768	Indirect
2021-07-01	Class A Common Stock	S	3258	$447.7978	Disposed	32510	Indirect
2021-07-01	Class A Common Stock	S	2200	$448.7091	Disposed	30310	Indirect
2021-07-01	Class A Common Stock	S	800	$449.6112	Disposed	29510	Indirect
2021-07-01	Class A Common Stock	S	1400	$451.0029	Disposed	28110	Indirect
2021-07-01	Class A Common Stock	S	500	$452.054	Disposed	27610	Indirect
2021-07-01	Class A Common Stock	S	810	$453.0756	Disposed	26800	Indirect
2021-07-01	Class A Common Stock	S	900	$453.8667	Disposed	25900	Indirect
2021-07-01	Class A Common Stock	S	100	$455.02	Disposed	25800	Indirect
2021-07-01	Class A Common Stock	S	800	$456.3175	Disposed	25000.0	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-07-01	Class B Common Stock	$0	C	40000.0	Disposed		Class A Common Stock (40000)	Indirect
2021-07-01	Employee Stock Option (Right to Buy)	$2.76	M	45000	Disposed	2022-07-24	Class B Common Stock (45000)	Direct
2021-07-01	Class B Common Stock	$2.76	M	45000	Acquired	2022-07-24	Class A Common Stock (45000)	Direct
2021-07-01	Class B Common Stock	$2.76	C	45000	Disposed	2022-07-24	Class A Common Stock (45000)	Direct
2021-07-01	Employee Stock Option (right to buy)	$435.67	A	133	Acquired	2031-06-30	Class A Common Stock (133)	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 $433.68 to $434.66 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 $434.73 to $435.72 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 $435.73 to $436.72 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 $436.73 to $437.72 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 $437.73 to $438.72 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 $438.73 to $439.72 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 $439.73 to $440.70 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 $440.76 to $441.62 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 $442.01 to $442.81 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 $443.08 to $444.02 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 $444.26 to $445.20 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 $445.29 to $446.19 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 $446.31 to $447.29 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 $447.35 to $448.20 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 $448.35 to $449.15 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.

F18: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $449.44 to $449.90 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 $450.50 to $451.46 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 $451.51 to $452.34 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 $452.52 to $453.32 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 $453.60 to $454.07 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 $456.10 to $456.68 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: This stock option is fully vested.

F25: 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.