ROKU

SEC source: 0001209191-17-054761 · doc4.xml · derivative · entry 5

CAROLAN SHAWN T · CIK 0001376066 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 9,240,558 shares

Expires not disclosed

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_price: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F4 · derivative.exercise_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F4 · derivative.expiration_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F2 · ownership.nature: Mr. Carolan does not own shares in his individual capacity. MV Management X, L.L.C. is the general partner of Menlo Ventures X, L.P., MMEF X, L.P., and Menlo Entrepreneurs Fund X, L.P. (collectively, the "Menlo Funds"). Mr. Carolan is a managing member of MV Management X, L.L.C. and may be deemed to have shared voting and investment power over the shares held by the Menlo Funds. Mr. Carolan disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F7 · ownership.nature: These shares consist of (i) 9,006,393 shares held by Menlo Ventures X, L.P., (ii) 157,611 shares held by MMEF X, L.P., and (iii) 76,554 shares held by Entrepreneurs Fund X, L.P.

SEC source: 0001209191-17-054761 · doc4.xml · derivative · entry 4

CAROLAN SHAWN T · CIK 0001376066 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 6,396,068 shares

Expires not disclosed

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_price: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F4 · derivative.exercise_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F4 · derivative.expiration_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F2 · ownership.nature: Mr. Carolan does not own shares in his individual capacity. MV Management X, L.L.C. is the general partner of Menlo Ventures X, L.P., MMEF X, L.P., and Menlo Entrepreneurs Fund X, L.P. (collectively, the "Menlo Funds"). Mr. Carolan is a managing member of MV Management X, L.L.C. and may be deemed to have shared voting and investment power over the shares held by the Menlo Funds. Mr. Carolan disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F6 · ownership.nature: These shares consist of (i) 6,233,986 shares held by Menlo Ventures X, L.P., (ii) 109,094 shares held by MMEF X, L.P., and (iii) 52,988 shares held by Entrepreneurs Fund X, L.P.

SEC source: 0001209191-17-054761 · doc4.xml · derivative · entry 3

CAROLAN SHAWN T · CIK 0001376066 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 3,029,159 shares

Expires not disclosed

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_price: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F4 · derivative.exercise_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F4 · derivative.expiration_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F2 · ownership.nature: Mr. Carolan does not own shares in his individual capacity. MV Management X, L.L.C. is the general partner of Menlo Ventures X, L.P., MMEF X, L.P., and Menlo Entrepreneurs Fund X, L.P. (collectively, the "Menlo Funds"). Mr. Carolan is a managing member of MV Management X, L.L.C. and may be deemed to have shared voting and investment power over the shares held by the Menlo Funds. Mr. Carolan disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F5 · ownership.nature: These shares consist of (i) 2,952,398 shares held by Menlo Ventures X, L.P., (ii) 51,666 shares held by MMEF X, L.P., and (iii) 25,095 shares held by Entrepreneurs Fund X, L.P.

SEC source: 0001209191-17-054761 · doc4.xml · nonDerivative · entry 2

CAROLAN SHAWN T · CIK 0001376066 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F2 · ownership.nature: Mr. Carolan does not own shares in his individual capacity. MV Management X, L.L.C. is the general partner of Menlo Ventures X, L.P., MMEF X, L.P., and Menlo Entrepreneurs Fund X, L.P. (collectively, the "Menlo Funds"). Mr. Carolan is a managing member of MV Management X, L.L.C. and may be deemed to have shared voting and investment power over the shares held by the Menlo Funds. Mr. Carolan disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F3 · ownership.nature: These shares consist of (i) 6,725,146 shares held by Menlo Ventures X, L.P., (ii) 117,690 shares held by MMEF X, L.P., and (iii) 57,164 shares held by Entrepreneurs Fund X, L.P.

SEC source: 0001209191-17-054761 · doc4.xml · nonDerivative · entry 1

CAROLAN SHAWN T · CIK 0001376066 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,900,000

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.

F1 · price: 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, (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 · ownership.nature: Mr. Carolan does not own shares in his individual capacity. MV Management X, L.L.C. is the general partner of Menlo Ventures X, L.P., MMEF X, L.P., and Menlo Entrepreneurs Fund X, L.P. (collectively, the "Menlo Funds"). Mr. Carolan is a managing member of MV Management X, L.L.C. and may be deemed to have shared voting and investment power over the shares held by the Menlo Funds. Mr. Carolan disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

F3 · ownership.nature: These shares consist of (i) 6,725,146 shares held by Menlo Ventures X, L.P., (ii) 117,690 shares held by MMEF X, L.P., and (iii) 57,164 shares held by Entrepreneurs Fund X, L.P.

SEC source: 0001209191-17-054759 · doc4.xml · derivative · entry 2

Wood Anthony J. · CIK 0001716837 · Director · President, CEO, Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,428,391

Underlying: Class A Common Stock · 19,824,172 shares

Expires not disclosed

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_price: 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, (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 · 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, (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 · derivative.expiration_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, (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: 0001209191-17-054759 · doc4.xml · derivative · entry 1

Wood Anthony J. · CIK 0001716837 · Director · President, CEO, Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 19,824,172 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

SEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 12

Globespan Capital Partners V LP · CIK 0001368858 · 10% owner

Goldfarb Andrew P · CIK 0001404740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 545,054

Underlying: Class A Common Stock · 545,054 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F4 · ownership.nature: Held directly by another fund affiliated with GCP V.

SEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 11

Globespan Capital Partners V LP · CIK 0001368858 · 10% owner

Goldfarb Andrew P · CIK 0001404740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 545,054 shares

Expires not disclosed

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_price: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F5 · derivative.exercise_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F5 · derivative.expiration_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F4 · ownership.nature: Held directly by another fund affiliated with GCP V.

SEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 10

Globespan Capital Partners V LP · CIK 0001368858 · 10% owner

Goldfarb Andrew P · CIK 0001404740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,681,527

Underlying: Class A Common Stock · 218,021 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F3 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V").

SEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 9

Globespan Capital Partners V LP · CIK 0001368858 · 10% owner

Goldfarb Andrew P · CIK 0001404740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 218,021 shares

Expires not disclosed

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_price: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F5 · derivative.exercise_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F5 · derivative.expiration_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F3 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V").

SEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 8

Globespan Capital Partners V LP · CIK 0001368858 · 10% owner

Goldfarb Andrew P · CIK 0001404740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,463,506

Underlying: Class A Common Stock · 1,236,893 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F3 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V").

SEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 7

Globespan Capital Partners V LP · CIK 0001368858 · 10% owner

Goldfarb Andrew P · CIK 0001404740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 1,236,893 shares

Expires not disclosed

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_price: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F5 · derivative.exercise_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F5 · derivative.expiration_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F3 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V").

SEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 6

Globespan Capital Partners V LP · CIK 0001368858 · 10% owner

Goldfarb Andrew P · CIK 0001404740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,226,613

Underlying: Class A Common Stock · 3,059,947 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F3 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V").

SEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 5

Globespan Capital Partners V LP · CIK 0001368858 · 10% owner

Goldfarb Andrew P · CIK 0001404740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 3,059,947 shares

Expires not disclosed

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_price: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F5 · derivative.exercise_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F5 · derivative.expiration_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F3 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V").

SEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 4

Globespan Capital Partners V LP · CIK 0001368858 · 10% owner

Goldfarb Andrew P · CIK 0001404740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 166,666

Underlying: Class A Common Stock · 166,666 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_price: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described the amended and restated certificate of incorporation of Roku, Inc. (the "Issuer"). All shares of Class B Common Stock will convert into Class A Common Stock on the earlier of (a) the first trading day on or after the date on which the outstanding shares of Class B Common Stock represent less than 10% of the then outstanding Class A and Class B Common Stock or (b) the date specified by vote of the holders of 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.expiration_date: (Continued from Footnote 1) Each share of Class B Common Stock is entitled to ten votes per share, whereas each share of Class A Common Stock is entitled to one vote per share. The rights of the holders of Class A Common Stock and Class B Common Stock are identical, except with respect to the aforementioned conversion rights and voting rights.

F3 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V").

SEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 3

Globespan Capital Partners V LP · CIK 0001368858 · 10% owner

Goldfarb Andrew P · CIK 0001404740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 166,666 shares

Expires not disclosed

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_price: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F5 · derivative.exercise_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F5 · derivative.expiration_date: The preferred stock automatically converted into Class B common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.

F3 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V").

SEC source: 0001209191-18-022005 · doc4.xml · derivative · entry 3

LEFF DANIEL V · CIK 0001277070 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 74,207

Underlying: Class A Common Stock · 652,009 shares

Expires not disclosed

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_price: Each share of Class B Common Stock is convertible at any time at the option of the Holder 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, (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.

F1 · kind: Luminari Capital, L.P. ("Luminari Capital") distributed these shares to its limited partners and general partners on a pro-rata basis, for no consideration.

F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Holder 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, (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.

F3 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Holder 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, (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.

F4 · ownership.nature: Shares held by Luminari Capital.

F5 · ownership.nature: Mr. Leff does not own shares in his individual capacity. The shares are owned directly by Luminari Capital. The general partner of Luminari Capital is Luminari Capital Partners, LLC, of which Daniel Leff is the managing member. Daniel Leff may be deemed to have sole voting and investment power over the shares held by Luminari Capital. Mr. Leff disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein and the inclusion of these securities in this report shall not be deemed an admission by Mr. Leff of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-18-022005 · doc4.xml · nonDerivative · entry 2

LEFF DANIEL V · CIK 0001277070 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,377

F1 · kind: Luminari Capital, L.P. ("Luminari Capital") distributed these shares to its limited partners and general partners on a pro-rata basis, for no consideration.

F2 · balance_after: Shares acquired in connection with a pro-rata stock distribution to the limited and general partners of Luminari Capital, for no consideration. The general partner of Luminari Capital is Luminari Capital Partners, LLC, of which Daniel Leff is the managing member.

SEC source: 0001209191-18-022005 · doc4.xml · nonDerivative · entry 1

LEFF DANIEL V · CIK 0001277070 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 652,009

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.

F1 · ownership.nature: Luminari Capital, L.P. ("Luminari Capital") distributed these shares to its limited partners and general partners on a pro-rata basis, for no consideration.