Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ROKU, INCROKU · Entity 2524 | 10% owner | March 27, 2018 | March 30, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ROKU, INC
Report date March 27, 2018 · Filed March 30, 2018
Jointly reported with Globespan Capital Partners V LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,668,070 |
Reported balance
After 2018-03-27 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-03-27 · Sale · Disposed 1,013,457 · Balance 3,668,070 F1: The transaction was executed in multiple trades at prices ranging from $33.00 to $33.995. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 427,061 |
Reported balance
After 2018-03-27 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-03-27 · Sale · Disposed 117,993 · Balance 427,061 F1: The transaction was executed in multiple trades at prices ranging from $33.00 to $33.995. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F3: Held directly by another fund affiliated with GCP V. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,654,920 |
Reported balance
After 2018-03-27 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2018-03-27 · Sale · Disposed 13,150 · Balance 3,654,920 F4: The transaction was executed in multiple trades at prices ranging from $34.00 - $34.58. F2: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 425,530 |
Reported balance
After 2018-03-27 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2018-03-27 · Sale · Disposed 1,531 · Balance 425,530 F4: The transaction was executed in multiple trades at prices ranging from $34.00 - $34.58. F3: Held directly by another fund affiliated with GCP V. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,519,019 |
Reported balance
After 2018-03-28 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2018-03-28 · Sale · Disposed 135,901 · Balance 3,519,019 F5: The transaction was executed in multiple trades at prices ranging from $31.00 - $31.93. F2: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 409,715 |
Reported balance
After 2018-03-28 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2018-03-28 · Sale · Disposed 15,815 · Balance 409,715 F5: The transaction was executed in multiple trades at prices ranging from $31.00 - $31.93. F3: Held directly by another fund affiliated with GCP V. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,441,510 |
Reported balance
After 2018-03-28 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2018-03-28 · Sale · Disposed 77,509 · Balance 3,441,510 F6: The transaction was executed in multiple trades at prices ranging from $32.00 - $32.97. F2: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 400,691 |
Reported balance
After 2018-03-28 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2018-03-28 · Sale · Disposed 9,024 · Balance 400,691 F6: The transaction was executed in multiple trades at prices ranging from $32.00 - $32.97. F3: Held directly by another fund affiliated with GCP V. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,413,399 |
Reported balance
After 2018-03-28 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2018-03-28 · Sale · Disposed 28,111 · Balance 3,413,399 F7: The transaction was executed in multiple trades at prices ranging from $33.04 - $33.98. F2: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 397,410 |
Reported balance
After 2018-03-28 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2018-03-28 · Sale · Disposed 3,281 · Balance 397,410 F7: The transaction was executed in multiple trades at prices ranging from $33.04 - $33.98. F3: Held directly by another fund affiliated with GCP V. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,386,206 |
Reported balance
After 2018-03-28 transaction · row 11
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 11 · 2018-03-28 · Sale · Disposed 27,193 · Balance 3,386,206 F8: The transaction was executed in multiple trades at prices ranging from $34.00 - $34.04. F2: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 394,244 |
Reported balance
After 2018-03-28 transaction · row 12
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 12 · 2018-03-28 · Sale · Disposed 3,166 · Balance 394,244 F8: The transaction was executed in multiple trades at prices ranging from $34.00 - $34.04. F3: Held directly by another fund affiliated with GCP V. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,310,744 |
Reported balance
After 2018-03-29 transaction · row 13
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 13 · 2018-03-29 · Sale · Disposed 75,462 · Balance 3,310,744 F9: The transaction was executed in multiple trades at prices ranging from $31.00 - $31.80. F2: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 385,456 |
Reported balance
After 2018-03-29 transaction · row 14
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 14 · 2018-03-29 · Sale · Disposed 8,788 · Balance 385,456 F9: The transaction was executed in multiple trades at prices ranging from $31.00 - $31.80. F3: Held directly by another fund affiliated with GCP V. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,251,849 |
Reported balance
After 2018-03-29 transaction · row 15
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 15 · 2018-03-29 · Sale · Disposed 58,895 · Balance 3,251,849 F10: The transaction was executed in multiple trades at prices ranging from $32.00 - $32.70. F2: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 378,601 |
Reported balance
After 2018-03-29 transaction · row 16
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 16 · 2018-03-29 · Sale · Disposed 6,855 · Balance 378,601 F10: The transaction was executed in multiple trades at prices ranging from $32.00 - $32.70. F3: Held directly by another fund affiliated with GCP V. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction was executed in multiple trades at prices ranging from $33.00 to $33.995. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F2: Held directly by Globespan Capital Partners V, L.P. ("GCP V").
F3: Held directly by another fund affiliated with GCP V.
F4: The transaction was executed in multiple trades at prices ranging from $34.00 - $34.58.
F5: The transaction was executed in multiple trades at prices ranging from $31.00 - $31.93.
F6: The transaction was executed in multiple trades at prices ranging from $32.00 - $32.97.
F7: The transaction was executed in multiple trades at prices ranging from $33.04 - $33.98.
F8: The transaction was executed in multiple trades at prices ranging from $34.00 - $34.04.
F9: The transaction was executed in multiple trades at prices ranging from $31.00 - $31.80.
F10: The transaction was executed in multiple trades at prices ranging from $32.00 - $32.70.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
UPWORK, INC
Report date April 01, 2019 · Filed April 03, 2019
Jointly reported with Globespan Management Associates IV, LLC, GLOBESPAN CAPITAL PARTNERS IV LP
Section 16 reporting ended · disclosed 2019-04-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 8,986,001 |
Reported balance
After 2019-04-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-04-01 · Sale · Disposed 1,699,705 · Balance 8,986,001 F1: The transaction was executed in multiple trades at prices ranging from $17.735 to $18.59. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: Held directly by Globespan Capital Partners IV, L.P. F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 8,985,747 |
Reported balance
After 2019-04-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-04-01 · Sale · Disposed 254 · Balance 8,985,747 F3: The transaction was executed in multiple trades at prices ranging from $18.81 to $19.00. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2: Held directly by Globespan Capital Partners IV, L.P. F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 616,477 |
Reported balance
After 2019-04-01 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-04-01 · Sale · Disposed 116,606 · Balance 616,477 F1: The transaction was executed in multiple trades at prices ranging from $17.735 to $18.59. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F4: Held directly by Globespan Capital Partners (Cayman) IV, L.P. F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 616,459 |
Reported balance
After 2019-04-01 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-04-01 · Sale · Disposed 18 · Balance 616,459 F3: The transaction was executed in multiple trades at prices ranging from $18.81 to $19.00. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F4: Held directly by Globespan Capital Partners (Cayman) IV, L.P. F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 555,259 |
Reported balance
After 2019-04-01 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2019-04-01 · Sale · Disposed 105,027 · Balance 555,259 F1: The transaction was executed in multiple trades at prices ranging from $17.735 to $18.59. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F5: Held directly by JAFCO Globespan USIT IV, L.P. F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 555,243 |
Reported balance
After 2019-04-01 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2019-04-01 · Sale · Disposed 16 · Balance 555,243 F3: The transaction was executed in multiple trades at prices ranging from $18.81 to $19.00. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F5: Held directly by JAFCO Globespan USIT IV, L.P. F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 244,777 |
Reported balance
After 2019-04-01 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2019-04-01 · Sale · Disposed 46,299 · Balance 244,777 F1: The transaction was executed in multiple trades at prices ranging from $17.735 to $18.59. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F6: Held directly by Globespan Capital Partners IV GmbH & Co. KG. F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 244,770 |
Reported balance
After 2019-04-01 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2019-04-01 · Sale · Disposed 7 · Balance 244,770 F3: The transaction was executed in multiple trades at prices ranging from $18.81 to $19.00. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F6: Held directly by Globespan Capital Partners IV GmbH & Co. KG. F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 169,513 |
Reported balance
After 2019-04-01 transaction · row 9
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 9 · 2019-04-01 · Sale · Disposed 32,063 · Balance 169,513 F1: The transaction was executed in multiple trades at prices ranging from $17.735 to $18.59. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F7: Held directly by GCP IV Affiliates Fund, L.P. F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 169,508 |
Reported balance
After 2019-04-01 transaction · row 10
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 10 · 2019-04-01 · Sale · Disposed 5 · Balance 169,508 F3: The transaction was executed in multiple trades at prices ranging from $18.81 to $19.00. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F7: Held directly by GCP IV Affiliates Fund, L.P. F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction was executed in multiple trades at prices ranging from $17.735 to $18.59. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F2: Held directly by Globespan Capital Partners IV, L.P.
F3: The transaction was executed in multiple trades at prices ranging from $18.81 to $19.00. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F4: Held directly by Globespan Capital Partners (Cayman) IV, L.P.
F5: Held directly by JAFCO Globespan USIT IV, L.P.
F6: Held directly by Globespan Capital Partners IV GmbH & Co. KG.
F7: Held directly by GCP IV Affiliates Fund, L.P.
F8: The filing of this Form 4 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 28, 2018 Filed Mar 30, 2018 01:33 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 15,815 | $31.22 | $493,744.30 |
DisclosureSEC source: 0000899243-18-008954 · doc4.xml · nonDerivative · 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: 409,715 F5 · price: The transaction was executed in multiple trades at prices ranging from $31.00 - $31.93. F3 · ownership.nature: Held directly by another fund affiliated with GCP V. Read SEC document |
| March 28, 2018 Filed Mar 30, 2018 01:33 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 135,901 | $31.22 | $4,242,829.22 |
DisclosureSEC source: 0000899243-18-008954 · doc4.xml · nonDerivative · 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: 3,519,019 F5 · price: The transaction was executed in multiple trades at prices ranging from $31.00 - $31.93. F2 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). Read SEC document |
| March 27, 2018 Filed Mar 30, 2018 01:33 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,531 | $34.18 | $52,329.58 |
DisclosureSEC source: 0000899243-18-008954 · doc4.xml · nonDerivative · 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: 425,530 F4 · price: The transaction was executed in multiple trades at prices ranging from $34.00 - $34.58. F3 · ownership.nature: Held directly by another fund affiliated with GCP V. Read SEC document |
| March 27, 2018 Filed Mar 30, 2018 01:33 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 13,150 | $34.18 | $449,467.00 |
DisclosureSEC source: 0000899243-18-008954 · doc4.xml · nonDerivative · 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: 3,654,920 F4 · price: The transaction was executed in multiple trades at prices ranging from $34.00 - $34.58. F2 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). Read SEC document |
| March 27, 2018 Filed Mar 30, 2018 01:33 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 117,993 | $33.39 | $3,939,786.27 |
DisclosureSEC source: 0000899243-18-008954 · doc4.xml · nonDerivative · entry 2 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: 427,061 F1 · price: The transaction was executed in multiple trades at prices ranging from $33.00 to $33.995. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F3 · ownership.nature: Held directly by another fund affiliated with GCP V. Read SEC document |
| March 27, 2018 Filed Mar 30, 2018 01:33 UTC | ROKU, INC ROKU · Entity 2524 | SaleClass A Common Stock | 1,013,457 | $33.39 | $33,839,329.23 |
DisclosureSEC source: 0000899243-18-008954 · doc4.xml · nonDerivative · entry 1 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: 3,668,070 F1 · price: The transaction was executed in multiple trades at prices ranging from $33.00 to $33.995. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer. F2 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). Read SEC document |
| March 22, 2018 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 545,054 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 14 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 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. Read SEC document |
| March 22, 2018 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 4,681,527 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-008524 · doc4.xml · derivative · entry 13 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 A Common Stock · 4,681,527 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"). Read SEC document |
| March 22, 2018 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 545,054 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-008524 · doc4.xml · nonDerivative · entry 2 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 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 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 · 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. F4 · ownership.nature: Held directly by another fund affiliated with GCP V. Read SEC document |
| March 22, 2018 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass A Common Stock | 4,681,527 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-008524 · doc4.xml · nonDerivative · entry 1 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 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 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 · 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. F3 · ownership.nature: Held directly by Globespan Capital Partners V, L.P. ("GCP V"). Read SEC document |
| October 02, 2017 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 545,054 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| October 02, 2017 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionSeries H Preferred · Derivative | 545,054 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| October 02, 2017 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 218,021 | $0.00 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| October 02, 2017 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionSeries H Preferred · Derivative | 218,021 | $0.00 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| October 02, 2017 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 1,236,893 | $0.00 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| October 02, 2017 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionSeries E Preferred · Derivative | 1,236,893 | $0.00 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| October 02, 2017 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 3,059,947 | $0.00 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| October 02, 2017 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionSeries D Preferred · Derivative | 3,059,947 | $0.00 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| October 02, 2017 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionClass B Common Stock · Derivative | 166,666 | $0.00 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| October 02, 2017 Filed Mar 27, 2018 00:59 UTC | ROKU, INC ROKU · Entity 2524 | ConversionSeries A Preferred · Derivative | 166,666 | $0.00 | $0.00 |
DisclosureSEC 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"). Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.