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MV Management X, L.L.C.

Disclosed activity across 1 company

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165630
SEC CIK
0001491768

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ROKU, INCROKU · Entity 252410% ownerJune 15, 2018June 20, 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 June 15, 2018 · Filed June 20, 2018

Jointly reported with Menlo Ventures X L P, MENLO ENTREPRENEURS FUND X LP, MMEF X LP

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee footnote5,188,668 Reported balance After 2018-06-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-06-15 · Other · Disposed 4,750,000 · Balance 5,188,668

F2: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X. The shares were distributed as follows: (i) 4,629,631 shares by Menlo X, (ii) 81,018 shares by MMEF X, and (iii) 39,351 shares by MEF X.

F1: MV Management X, L.L.C. ("MVM-X") is the sole general partner of Menlo Ventures X, L.P. ("Menlo X"), MMEF X, L.P. ("MMEF X") and Menlo Entrepreneurs Fund X, L.P. ("MEF X" and, collectively with Menlo X and MMEF X, the "Menlo Funds"). MVM-X exercises voting and dispositive power over the shares held by each of the Menlo Funds. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its proportionate pecuniary interest therein.

F3: Following the distributions described in footnote (3), these shares are held as follows: (i) 5,057,184 shares by Menlo X, (ii) 88,499 shares by MMEF X, and (iii) 42,985 shares by MEF X.

Class A Common StockSEC Table I · non-derivativeDirect1,184,373 Reported balance After 2018-06-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2018-06-15 · Other · Acquired 1,184,373 · Balance 1,184,373

F4: Represents the receipt of shares by MVM-X in the distributions described in greater detail in footnote (2).

Class A Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2018-06-15 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2018-06-15 · Other · Disposed 1,184,373 · Balance 0

F5: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

Filing footnotes · ownership attribution and instrument terms

F1: MV Management X, L.L.C. ("MVM-X") is the sole general partner of Menlo Ventures X, L.P. ("Menlo X"), MMEF X, L.P. ("MMEF X") and Menlo Entrepreneurs Fund X, L.P. ("MEF X" and, collectively with Menlo X and MMEF X, the "Menlo Funds"). MVM-X exercises voting and dispositive power over the shares held by each of the Menlo Funds. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its proportionate pecuniary interest therein.

F2: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X. The shares were distributed as follows: (i) 4,629,631 shares by Menlo X, (ii) 81,018 shares by MMEF X, and (iii) 39,351 shares by MEF X.

F3: Following the distributions described in footnote (3), these shares are held as follows: (i) 5,057,184 shares by Menlo X, (ii) 88,499 shares by MMEF X, and (iii) 42,985 shares by MEF X.

F4: Represents the receipt of shares by MVM-X in the distributions described in greater detail in footnote (2).

F5: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 15, 2018 Filed Jun 20, 2018 00:13 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 1,184,373 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-017249 · doc4.xml · nonDerivative · entry 3

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

F5 · price: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

Read SEC document
June 15, 2018 Filed Jun 20, 2018 00:13 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 1,184,373 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-017249 · doc4.xml · nonDerivative · entry 2

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,184,373

F4 · kind: Represents the receipt of shares by MVM-X in the distributions described in greater detail in footnote (2).

F4 · price: Represents the receipt of shares by MVM-X in the distributions described in greater detail in footnote (2).

Read SEC document
June 15, 2018 Filed Jun 20, 2018 00:13 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 4,750,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-017249 · doc4.xml · nonDerivative · entry 1

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 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: 5,188,668

F2 · kind: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X. The shares were distributed as follows: (i) 4,629,631 shares by Menlo X, (ii) 81,018 shares by MMEF X, and (iii) 39,351 shares by MEF X.

F2 · price: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X. The shares were distributed as follows: (i) 4,629,631 shares by Menlo X, (ii) 81,018 shares by MMEF X, and (iii) 39,351 shares by MEF X.

F1 · ownership.nature: MV Management X, L.L.C. ("MVM-X") is the sole general partner of Menlo Ventures X, L.P. ("Menlo X"), MMEF X, L.P. ("MMEF X") and Menlo Entrepreneurs Fund X, L.P. ("MEF X" and, collectively with Menlo X and MMEF X, the "Menlo Funds"). MVM-X exercises voting and dispositive power over the shares held by each of the Menlo Funds. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its proportionate pecuniary interest therein.

F3 · ownership.nature: Following the distributions described in footnote (3), these shares are held as follows: (i) 5,057,184 shares by Menlo X, (ii) 88,499 shares by MMEF X, and (iii) 42,985 shares by MEF X.

Read SEC document
May 29, 2018 Filed May 31, 2018 21:29 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 1,154,985 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-014572 · doc4.xml · nonDerivative · entry 3

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

F5 · price: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

Read SEC document
May 29, 2018 Filed May 31, 2018 21:29 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 1,154,985 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-014572 · doc4.xml · nonDerivative · entry 2

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,154,985

F4 · kind: Represents the receipt of shares by MVM-X in the distributions described in greater detail in footnote (2).

F4 · price: Represents the receipt of shares by MVM-X in the distributions described in greater detail in footnote (2).

Read SEC document
May 29, 2018 Filed May 31, 2018 21:29 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 4,650,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-014572 · doc4.xml · nonDerivative · entry 1

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 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: 9,938,668

F2 · kind: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X. The shares were distributed as follows: (i) 4,532,166 shares by Menlo X, (ii) 79,312 shares by MMEF X, and (iii) 38,522 shares by MEF X.

F2 · price: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X. The shares were distributed as follows: (i) 4,532,166 shares by Menlo X, (ii) 79,312 shares by MMEF X, and (iii) 38,522 shares by MEF X.

F1 · ownership.nature: MV Management X, L.L.C. ("MVM-X") is the sole general partner of Menlo Ventures X, L.P. ("Menlo X"), MMEF X, L.P. ("MMEF X") and Menlo Entrepreneurs Fund X, L.P. ("MEF X" and, collectively with Menlo X and MMEF X, the "Menlo Funds"). MVM-X exercises voting and dispositive power over the shares held by each of the Menlo Funds. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its proportionate pecuniary interest therein.

F3 · ownership.nature: Following the distributions described in footnote (2), these shares are held as follows: (i) 9,686,815 shares by Menlo X, (ii) 169,517 shares by MMEF X, and (iii) 82,336 shares by MEF X.

Read SEC document
May 11, 2018 Filed May 15, 2018 22:49 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 1,115,179 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-012967 · doc4.xml · nonDerivative · entry 3

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

F5 · price: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

Read SEC document
May 11, 2018 Filed May 15, 2018 22:49 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 1,115,179 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-012967 · doc4.xml · nonDerivative · entry 2

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,115,179

F4 · kind: Represents the receipt of shares by MVM-X in the distributions described in greater detail in footnote (2).

F4 · price: Represents the receipt of shares by MVM-X in the distributions described in greater detail in footnote (2).

Read SEC document
May 11, 2018 Filed May 15, 2018 22:49 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 4,500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-012967 · doc4.xml · nonDerivative · entry 1

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 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: 14,588,668

F2 · kind: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X. The shares were distributed as follows: (i) 4,385,966 shares by Menlo X, (ii) 76,754 shares by MMEF X, and (iii) 37,280 shares by MEF X.

F2 · price: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X. The shares were distributed as follows: (i) 4,385,966 shares by Menlo X, (ii) 76,754 shares by MMEF X, and (iii) 37,280 shares by MEF X.

F1 · ownership.nature: MV Management X, L.L.C. ("MVM-X") is the sole general partner of Menlo Ventures X, L.P. ("Menlo X"), MMEF X, L.P. ("MMEF X") and Menlo Entrepreneurs Fund X, L.P. ("MEF X" and, collectively with Menlo X and MMEF X, the "Menlo Funds"). MVM-X exercises voting and dispositive power over the shares held by each of the Menlo Funds. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its proportionate pecuniary interest therein.

F3 · ownership.nature: Following the distributions described in footnote (2), these shares are held as follows: (i) 14,218,981 shares by Menlo X, (ii) 248,829 shares by MMEF X, and (iii) 120,858 shares by MEF X.

Read SEC document
March 26, 2018 Filed Mar 28, 2018 20:34 UTC ROKU, INC ROKU · Entity 2524 ConversionClass B Common Stock · Derivative 23,388,668 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-008708 · doc4.xml · derivative · entry 5

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 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 · 23,388,668 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.

F7 · derivative.exercise_price: 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.

F7 · derivative.exercise_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.

F7 · derivative.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 · ownership.nature: MV Management X, L.L.C. ("MVM-X") is the sole general partner of Menlo Ventures X, L.P. ("Menlo X"), MMEF X, L.P. ("MMEF X") and Menlo Entrepreneurs Fund X, L.P. ("MEF X" and, collectively with Menlo X and MMEF X, the "Menlo Funds"). MVM-X exercises voting and dispositive power over the shares held by each of the Menlo Funds. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its proportionate pecuniary interest therein.

F2 · ownership.nature: The shares of Class B Common Stock converted, and the shares of Class A Common Stock received on conversion, were held as follows: (i) 22,795,982 shares held by Menlo X, (ii) 398,925 shares held by MMEF X, and (iii) 193,761 shares held by MEF X.

Read SEC document
March 26, 2018 Filed Mar 28, 2018 20:34 UTC ROKU, INC ROKU · Entity 2524 OtherClass B Common Stock 1,063,771 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-008708 · doc4.xml · nonDerivative · entry 4

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F6 · kind: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members, pursuant to a distribution plan adopted in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934.

F6 · price: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members, pursuant to a distribution plan adopted in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934.

Read SEC document
March 26, 2018 Filed Mar 28, 2018 20:34 UTC ROKU, INC ROKU · Entity 2524 OtherClass B Common Stock 1,063,771 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-008708 · doc4.xml · nonDerivative · entry 3

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,063,771

F5 · kind: Represents the receipt of shares by MVM-X in the distributions described in greater detail in footnote (3).

F5 · price: Represents the receipt of shares by MVM-X in the distributions described in greater detail in footnote (3).

Read SEC document
March 26, 2018 Filed Mar 28, 2018 20:34 UTC ROKU, INC ROKU · Entity 2524 OtherClass B Common Stock 4,300,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-008708 · doc4.xml · nonDerivative · entry 2

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 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: 19,088,668

F3 · kind: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X, pursuant to a distribution plan adopted in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934. The shares were distributed as follows: (i) 4,191,035 shares by Menlo X, (ii) 73,342 shares by MMEF X, and (iii) 35,623 shares by MEF X.

F3 · price: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X, pursuant to a distribution plan adopted in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934. The shares were distributed as follows: (i) 4,191,035 shares by Menlo X, (ii) 73,342 shares by MMEF X, and (iii) 35,623 shares by MEF X.

F3 · balance_after: Represents a pro rata in kind distribution of shares of Class A Common Stock, without consideration, by each of Menlo X, MMEF X and MEF X to their respective partners, including their general partner, MVM-X, pursuant to a distribution plan adopted in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934. The shares were distributed as follows: (i) 4,191,035 shares by Menlo X, (ii) 73,342 shares by MMEF X, and (iii) 35,623 shares by MEF X.

F1 · ownership.nature: MV Management X, L.L.C. ("MVM-X") is the sole general partner of Menlo Ventures X, L.P. ("Menlo X"), MMEF X, L.P. ("MMEF X") and Menlo Entrepreneurs Fund X, L.P. ("MEF X" and, collectively with Menlo X and MMEF X, the "Menlo Funds"). MVM-X exercises voting and dispositive power over the shares held by each of the Menlo Funds. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its proportionate pecuniary interest therein.

F4 · ownership.nature: Following the distributions described in footnote (3), these shares are held as follows: (i) 18,604,947 shares by Menlo X, (ii) 325,583 shares by MMEF X, and (iii) 158,138 shares by MEF X.

Read SEC document
March 26, 2018 Filed Mar 28, 2018 20:34 UTC ROKU, INC ROKU · Entity 2524 ConversionClass B Common Stock 23,388,668 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-008708 · doc4.xml · nonDerivative · entry 1

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 10% owner

MMEF X LP · CIK 0001346569 · 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: 23,388,668

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: MV Management X, L.L.C. ("MVM-X") is the sole general partner of Menlo Ventures X, L.P. ("Menlo X"), MMEF X, L.P. ("MMEF X") and Menlo Entrepreneurs Fund X, L.P. ("MEF X" and, collectively with Menlo X and MMEF X, the "Menlo Funds"). MVM-X exercises voting and dispositive power over the shares held by each of the Menlo Funds. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its proportionate pecuniary interest therein.

F2 · ownership.nature: The shares of Class B Common Stock converted, and the shares of Class A Common Stock received on conversion, were held as follows: (i) 22,795,982 shares held by Menlo X, (ii) 398,925 shares held by MMEF X, and (iii) 193,761 shares held by MEF X.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionClass B Common Stock · Derivative 6,900,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · derivative · entry 12

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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: 23,388,668

Underlying: Class A Common Stock · 6,900,000 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 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.

F1 · 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.

F1 · 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

F14 · ownership.nature: These shares consist of (i) 22,795,982 shares held by Menlo Ventures X, L.P., (ii) 398,925 shares held by MMEF X, L.P., and (iii) 193,761 shares held by Entrepreneurs Fund X, L.P.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionClass B Common Stock · Derivative 30,224,580 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · derivative · entry 11

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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: 30,288,668

Underlying: Class A Common Stock · 30,224,580 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 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.

F1 · 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.

F1 · 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

F13 · ownership.nature: These shares consist of (i) 29,521,128 shares held by Menlo Ventures X, L.P., (ii) 516,615 shares held by MMEF X, L.P., and (iii) 250,925 shares held by Entrepreneurs Fund X, L.P.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries H Preferred Stock · Derivative 327,032 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · derivative · entry 10

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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 · 327,032 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

F12 · ownership.nature: These shares consist of (i) 318,745 shares held by Menlo Ventures X, L.P., (ii) 5,578 shares held by MMEF X, L.P., and (iii) 2,709 shares held by Entrepreneurs Fund X, L.P.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries G Preferred Stock · Derivative 897,745 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · derivative · entry 9

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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 · 897,745 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

F11 · ownership.nature: These shares consist of (i) 874,996 shares held by Menlo Ventures X, L.P., (ii) 15,312 shares held by MMEF X, L.P., and (iii) 7,437 shares held by Entrepreneurs Fund X, L.P.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries E Preferred Stock · Derivative 1,804,332 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · derivative · entry 8

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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 · 1,804,332 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

F10 · ownership.nature: These shares consist of (i) 1,758,610 shares held by Menlo Ventures X, L.P., (ii) 30,775 shares held by MMEF X, L.P., and (iii) 14,947 shares held by Entrepreneurs Fund X, L.P.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries D Preferred Stock · Derivative 829,220 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · derivative · entry 7

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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 · 829,220 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

F9 · ownership.nature: These shares consist of (i) 808,208 shares held by Menlo Ventures X, L.P., (ii) 14,143 shares held by MMEF X, L.P., and (iii) 6,869 shares held by Entrepreneurs Fund X, L.P.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries C-2 Preferred Stock · Derivative 7,700,466 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · derivative · entry 6

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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 · 7,700,466 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

F8 · ownership.nature: These shares consist of (i) 7,505,328 shares held by Menlo Ventures X, L.P., (ii) 131,343 shares held by MMEF X, L.P., and (iii) 63,795 shares held by Entrepreneurs Fund X, L.P.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries C-1 Preferred Stock · Derivative 9,240,558 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · derivative · entry 5

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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 · 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

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.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries B Preferred Stock · Derivative 6,396,068 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · derivative · entry 4

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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 · 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

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.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries A Preferred Stock · Derivative 3,029,159 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · derivative · entry 3

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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 · 3,029,159 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

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.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 SaleClass A Common Stock 6,900,000 $14.00 $96,600,000.00
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · nonDerivative · entry 2

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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

F2 · 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:22 UTC ROKU, INC ROKU · Entity 2524 ConversionClass A Common Stock 6,900,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-054764 · doc4.xml · nonDerivative · entry 1

MV Management X, L.L.C. · CIK 0001491768 · 10% owner

Menlo Ventures X L P · CIK 0001325065 · 10% owner

MMEF X LP · CIK 0001346569 · 10% owner

MENLO ENTREPRENEURS FUND X LP · CIK 0001346306 · 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: 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: 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.

F3 · ownership.nature: 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"), and the managing members of the general partner are Henry D. Montgomery, John W. Javre, Douglas C. Carlisle, Mark A. Siegel, and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by Menlo Funds. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her proportionate pecuniary interest therein and this report shall not be deemed an admission that the reporting person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose. Shawn T. Carolan is a director of the Issuer.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.