Statement of Changes in Beneficial Ownership (4)
20 November 2019 - 10:26AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Ozgen Mustafa |
2. Issuer Name and Ticker or Trading Symbol
ROKU, INC
[
ROKU
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP and GM of Account Acquisit |
(Last)
(First)
(Middle)
C/O ROKU, INC., 150 WINCHESTER CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/15/2019 |
(Street)
LOS GATOS, CA 95032
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 11/15/2019 | | M | | 9989 | A | $0 | 9989 | D | |
Class A Common Stock | 11/18/2019 | | S | | 5015 (1) | D | $159.5455 | 4974 | D | |
Class A Common Stock | 11/19/2019 | | S | | 4974 (2) | D | $153.45 | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | $0 | 11/15/2019 | | M | | | 9989 | 6/1/2019 | (3) | Class A Common Stock | 9989 | $0 | 129860 | D | |
Explanation of Responses: |
(1) | These shares were sold by the Company in order to meet the tax withholding obligations of the award holder in connection with the vesting of an installment of the restricted stock unit award. |
(2) | Shares sold pursuant to Mr. Ozgen's 10b5-1 plan. |
(3) | This RSU vests ratably in 16 quarterly installments with the first vest occurring on June 1, 2019. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ozgen Mustafa C/O ROKU, INC. 150 WINCHESTER CIRCLE LOS GATOS, CA 95032 |
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| SVP and GM of Account Acquisit |
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Signatures
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/s/ Christy Lillquist, attorney-in-fact | | 11/19/2019 |
**Signature of Reporting Person | Date |
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