SEC Form 4 · accession 0000899243-18-008954

ROKU, INC · ROKU

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

Period of report

Mar 27, 2018

Accepted (ET)

Mar 29, 2018 · 9:33 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001428439

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Class A Common Stock^F1,F2	Mar 27, 2018	S	1,013,457	$33.39	D	3,668,070	I	See footnote
Class A Common Stock^F1,F3	Mar 27, 2018	S	117,993	$33.39	D	427,061	I	See footnote
Class A Common Stock^F4,F2	Mar 27, 2018	S	13,150	$34.18	D	3,654,920	I	See footnote
Class A Common Stock^F4,F3	Mar 27, 2018	S	1,531	$34.18	D	425,530	I	See footnote
Class A Common Stock^F5,F2	Mar 28, 2018	S	135,901	$31.22	D	3,519,019	I	See footnote
Class A Common Stock^F5,F3	Mar 28, 2018	S	15,815	$31.22	D	409,715	I	See footnote
Class A Common Stock^F6,F2	Mar 28, 2018	S	77,509	$32.40	D	3,441,510	I	See footnote
Class A Common Stock^F6,F3	Mar 28, 2018	S	9,024	$32.40	D	400,691	I	See footnote
Class A Common Stock^F7,F2	Mar 28, 2018	S	28,111	$33.41	D	3,413,399	I	See footnote
Class A Common Stock^F7,F3	Mar 28, 2018	S	3,281	$33.41	D	397,410	I	See footnote
Class A Common Stock^F8,F2	Mar 28, 2018	S	27,193	$34.00	D	3,386,206	I	See footnote
Class A Common Stock^F8,F3	Mar 28, 2018	S	3,166	$34.00	D	394,244	I	See footnote
Class A Common Stock^F9,F2	Mar 29, 2018	S	75,462	$31.09	D	3,310,744	I	See footnote
Class A Common Stock^F9,F3	Mar 29, 2018	S	8,788	$31.09	D	385,456	I	See footnote
Class A Common Stock^F10,F2	Mar 29, 2018	S	58,895	$32.51	D	3,251,849	I	See footnote
Class A Common Stock^F10,F3	Mar 29, 2018	S	6,855	$32.51	D	378,601	I	See footnote

No Table II lines on this filing.

F1The transaction was executed in multiple trades at prices ranging from $33.00 to $33.995. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F10The transaction was executed in multiple trades at prices ranging from $32.00 - $32.70.
F2Held directly by Globespan Capital Partners V, L.P. ("GCP V").
F3Held directly by another fund affiliated with GCP V.
F4The transaction was executed in multiple trades at prices ranging from $34.00 - $34.58.
F5The transaction was executed in multiple trades at prices ranging from $31.00 - $31.93.
F6The transaction was executed in multiple trades at prices ranging from $32.00 - $32.97.
F7The transaction was executed in multiple trades at prices ranging from $33.04 - $33.98.
F8The transaction was executed in multiple trades at prices ranging from $34.00 - $34.04.
F9The transaction was executed in multiple trades at prices ranging from $31.00 - $31.80.