ROKU

SEC source: 0001716837-19-000002 · edgar.xml · derivative · entry 13

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,905

Underlying: Class B Common Stock · 2,288 shares

Expires 2026-05-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: Granted November 8, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020.

SEC source: 0001716837-19-000002 · edgar.xml · derivative · entry 12

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,604 shares

Expires 2025-03-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 6)

F6 · derivative.exercise_date: (footnote 5 continued), (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.

SEC source: 0001716837-19-000002 · edgar.xml · derivative · entry 11

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,604

Underlying: Class A Common Stock · 2,604 shares

Expires 2025-03-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 6)

F6 · derivative.exercise_date: (footnote 5 continued), (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.

SEC source: 0001716837-19-000002 · edgar.xml · derivative · entry 10

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,814

Underlying: Class B Common Stock · 2,604 shares

Expires 2025-03-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Granted March 23, 2015, vests monthly over 4 years. Fully vested as of 3/23/2019.

SEC source: 0001716837-19-000002 · edgar.xml · nonDerivative · entry 9

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.61 to $30.94 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.

SEC source: 0001716837-19-000002 · edgar.xml · nonDerivative · entry 8

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,307

F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.59 to $30.58 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.

SEC source: 0001716837-19-000002 · edgar.xml · nonDerivative · entry 7

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,111

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001716837-19-000002 · edgar.xml · nonDerivative · entry 6

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.59 to $30.58 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.

SEC source: 0001716837-19-000002 · edgar.xml · nonDerivative · entry 5

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001716837-19-000002 · edgar.xml · nonDerivative · entry 4

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.59 to $30.58 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.

SEC source: 0001716837-19-000002 · edgar.xml · nonDerivative · entry 3

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,288

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001716837-19-000002 · edgar.xml · nonDerivative · entry 2

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.59 to $30.58 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.

SEC source: 0001716837-19-000002 · edgar.xml · nonDerivative · entry 1

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,604

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001716837-18-000094 · edgar.xml · derivative · entry 5

Hastings Jeff · CIK 0001336253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 3,000 shares

Expires 2027-08-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into 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, (continued on footnote 4)

F4 · derivative.exercise_date: (footnote 3 continued), (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.

SEC source: 0001716837-18-000094 · edgar.xml · derivative · entry 4

Hastings Jeff · CIK 0001336253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Class A Common Stock · 3,000 shares

Expires 2027-08-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 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. Following the closing of the Issuer's sale of its Class A Common Stock in its initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into 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, (continued on footnote 4)

F4 · derivative.exercise_date: (footnote 3 continued), (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.

SEC source: 0001716837-18-000094 · edgar.xml · derivative · entry 3

Hastings Jeff · CIK 0001336253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,833

Underlying: Class B Common Stock · 3,000 shares

Expires 2027-08-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 1/12 of the Option vests in equal monthly installments one month from 8/5/2017. The shares of this option are early exercisable, subject to the Issuer's right to repurchase.

SEC source: 0001716837-18-000094 · edgar.xml · nonDerivative · entry 2

Hastings Jeff · CIK 0001336253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Shares sold pursuant to Mr. Hasting's 10b5-1 plan dated September 14, 2018.

SEC source: 0001716837-18-000094 · edgar.xml · nonDerivative · entry 1

Hastings Jeff · CIK 0001336253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001716837-18-000092 · edgar.xml · derivative · entry 13

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 0 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 8)

F8 · derivative.exercise_date: (footnote 7 continued), (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.

SEC source: 0001716837-18-000092 · edgar.xml · derivative · entry 12

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Class A Common Stock · 6,000 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 8)

F8 · derivative.exercise_date: (footnote 7 continued), (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.

SEC source: 0001716837-18-000092 · edgar.xml · derivative · entry 11

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,040

Underlying: Class B Common Stock · 6,000 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: Options were 1/4 vested on 1/2/15 then 1/36th monthly thereafter over a total of 4 years.

SEC source: 0001716837-18-000092 · edgar.xml · derivative · entry 10

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 0 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 8)

F8 · derivative.exercise_date: (footnote 7 continued), (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.

SEC source: 0001716837-18-000092 · edgar.xml · derivative · entry 9

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Class A Common Stock · 30,000 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 8)

F8 · derivative.exercise_date: (footnote 7 continued), (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.

SEC source: 0001716837-18-000092 · edgar.xml · derivative · entry 8

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,216

Underlying: Class B Common Stock · 30,000 shares

Expires 2024-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: Options were 1/4 vested on 1/2/15 then 1/36th monthly thereafter over a total of 4 years.

SEC source: 0001716837-18-000092 · edgar.xml · nonDerivative · entry 7

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017.

F6 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.97 to $42.59 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.

SEC source: 0001716837-18-000092 · edgar.xml · nonDerivative · entry 6

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,401

F1 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017.

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.97 to $41.94 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.

SEC source: 0001716837-18-000092 · edgar.xml · nonDerivative · entry 5

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001716837-18-000092 · edgar.xml · nonDerivative · entry 4

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.95 to $43.37 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.

SEC source: 0001716837-18-000092 · edgar.xml · nonDerivative · entry 3

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,400

F1 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.93 to $42.63 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.

SEC source: 0001716837-18-000092 · edgar.xml · nonDerivative · entry 2

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,242

F1 · shares: Shares sold pursuant to Mr. Kay's 10b5-1 plan dated November 20, 2017.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.93 to $41.90 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.

SEC source: 0001716837-18-000092 · edgar.xml · nonDerivative · entry 1

KAY STEPHEN H · CIK 0001247487 · SVP General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 21

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 11,111 shares

Expires 2026-11-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 6)

F6 · derivative.exercise_date: (footnote 5 continued), (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.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 20

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,111

Underlying: Class A Common Stock · 11,111 shares

Expires 2026-11-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 6)

F6 · derivative.exercise_date: (footnote 5 continued), (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.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 19

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,111

Underlying: Class B Common Stock · 11,111 shares

Expires 2026-11-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: Granted November 8, 2016, vests monthly over 1 year from vest base date 9/2/18. Fully vested as of 9/2/2019.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 18

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 316 shares

Expires 2026-05-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 6)

F6 · derivative.exercise_date: (footnote 5 continued), (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.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 17

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316

Underlying: Class A Common Stock · 316 shares

Expires 2026-05-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 6)

F6 · derivative.exercise_date: (footnote 5 continued), (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.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 16

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,682

Underlying: Class B Common Stock · 316 shares

Expires 2026-05-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_date: Granted December 20, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 15

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,289 shares

Expires 2026-05-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 6)

F6 · derivative.exercise_date: (footnote 5 continued), (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.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 14

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,289

Underlying: Class A Common Stock · 2,289 shares

Expires 2026-05-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 6)

F6 · derivative.exercise_date: (footnote 5 continued), (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.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 13

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,193

Underlying: Class B Common Stock · 2,289 shares

Expires 2026-05-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: Granted November 8, 2016, vests monthly over 4 years from vest base date 5/17/2016. Fully vested as of 5/17/2020.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 12

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,603 shares

Expires 2025-03-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 6)

F6 · derivative.exercise_date: (footnote 5 continued), (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.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 11

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,603

Underlying: Class A Common Stock · 2,603 shares

Expires 2025-03-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 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. The Class B Common Stock will convert automatically into 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, (continued on footnote 6)

F6 · derivative.exercise_date: (footnote 5 continued), (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.

SEC source: 0001716837-18-000091 · edgar.xml · derivative · entry 10

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,418

Underlying: Class B Common Stock · 2,603 shares

Expires 2025-03-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Granted March 23, 2015, vests monthly over 4 years. Fully vested as of 3/23/2019.

SEC source: 0001716837-18-000091 · edgar.xml · nonDerivative · entry 9

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.13 to $41.52 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.

SEC source: 0001716837-18-000091 · edgar.xml · nonDerivative · entry 8

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,502

F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.13 to $40.12 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.

SEC source: 0001716837-18-000091 · edgar.xml · nonDerivative · entry 7

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,111

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001716837-18-000091 · edgar.xml · nonDerivative · entry 6

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.13 to $40.12 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.

SEC source: 0001716837-18-000091 · edgar.xml · nonDerivative · entry 5

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001716837-18-000091 · edgar.xml · nonDerivative · entry 4

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Shares sold pursuant to Mr. Smith's 10b5-1 plan dated November 20, 2017.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.13 to $40.12 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.

SEC source: 0001716837-18-000091 · edgar.xml · nonDerivative · entry 3

Smith Chas · CIK 0001716838 · GM, Sr. VP Roku TV & Players

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,289

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.