KAY STEPHEN H 4

4 · ROKU, INC · Filed Jun 17, 2024

Form 4

Period: 2024-06-13

VP, General Counsel, Secretary

Transactions

Conversion
Class A Common Stock
2024-06-13+21,993→ 104,029 total
Conversion
Class B Common Stock
2024-06-13−21,993→ 0 total
Exercise: $0.00→ Class A Common Stock (21,993 underlying)
Exercise/Conversion
Employee Stock Option (Right to Buy)
2024-06-13$6.12/sh−21,993$134,597→ 0 total
Exercise: $6.12Exp: 2027-05-15→ Class B Common Stock (21,993 underlying)
Sale
Class A Common Stock
2024-06-13$55.59/sh−12,124$673,973→ 91,905 total
Exercise/Conversion
Class B Common Stock
2024-06-13$6.12/sh+21,993$134,597→ 21,993 total
Exercise: $6.12Exp: 2027-05-15→ Class A Common Stock (21,993 underlying)

Footnotes (3)

[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 Mr. Kay's 10b5-1 plan to satisfy income tax withholding obligations in connection with the exercise of a stock option.
[F3]This stock option is fully vested.

Documents

1 file