TapewireFind a company

person · Reporting owner

CAROLAN SHAWN T

Disclosed activity across 2 companies

Tapewire entity
41262
SEC CIK
0001376066

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Chime Financial, Inc.CHYM · Entity 2294DirectorSeptember 10, 2026September 15, 2026
ROKU, INCROKU · Entity 252410% ownerMay 29, 2018May 31, 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.

Chime Financial, Inc.

Report date September 10, 2026 · Filed September 15, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectBy Menlo Inflection II, L.P.0 Last balance in matching sequence After 2026-09-11 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2026-09-10 · Sale · Disposed 297,318 · Balance 272,437

F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F2: Securities are directly held by Menlo Inflection II, L.P. ("Menlo Inflection II"). The Reporting Person is a managing member of MSOP GP II, L.L.C. ("MSOP GP II"), the general partner of Menlo Inflection II. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Row 4 · 2026-09-11 · Sale · Disposed 272,437 · Balance 0

F5: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.185, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F2: Securities are directly held by Menlo Inflection II, L.P. ("Menlo Inflection II"). The Reporting Person is a managing member of MSOP GP II, L.L.C. ("MSOP GP II"), the general partner of Menlo Inflection II. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy MM Inflection, L.P.0 Last balance in matching sequence After 2026-09-11 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 2 · 2026-09-10 · Sale · Disposed 3,023 · Balance 2,770

F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F3: Securities are directly held by MM Inflection, L.P. ("MM Inflection"). The Reporting Person is a managing member of MSOP GP II, the general partner of MM Inflection. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Row 5 · 2026-09-11 · Sale · Disposed 2,770 · Balance 0

F5: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.185, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F3: Securities are directly held by MM Inflection, L.P. ("MM Inflection"). The Reporting Person is a managing member of MSOP GP II, the general partner of MM Inflection. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Menlo Entrepreneurs Inflection Fund, L.P.0 Last balance in matching sequence After 2026-09-11 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 3 · 2026-09-10 · Sale · Disposed 1,965 · Balance 1,800

F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F4: Securities are directly held by Menlo Entrepreneurs Inflection Fund, L.P. ("ME Inflection"). The Reporting Person is a managing member of MSOP GP II, the general partner of ME Inflection. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Row 6 · 2026-09-11 · Sale · Disposed 1,800 · Balance 0

F5: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.185, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F4: Securities are directly held by Menlo Entrepreneurs Inflection Fund, L.P. ("ME Inflection"). The Reporting Person is a managing member of MSOP GP II, the general partner of ME Inflection. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Menlo Ventures XIV, L.P.3,432,840 Reported balance Holding disclosure · report date 2026-09-10 · row 7 Holding and transaction disclosures are not merged.
1 source row

Row 7 · Balance 3,432,840

F6: The shares held by Menlo Ventures XIV, L.P. ("Menlo XIV") as reported herein reflect a pro rata distribution in kind, effected by Menlo XIV to its general partner and limited partners and the further pro rata distribution of such shares by Menlo XIV's general partner to its members, in each case, for no additional consideration subsequent to the Reporting Person's most recent Form 4 filing, which were exempt from reporting pursuant to Rule 16a-13.

F7: Shares are directly held by Menlo XIV. The Reporting Person is a managing member of MV Management XIV, L.L.C. ("MVM XIV"), the general partner of Menlo XIV. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy MMEF XIV, L.P.51,155 Reported balance Holding disclosure · report date 2026-09-10 · row 8 Holding and transaction disclosures are not merged.
1 source row

Row 8 · Balance 51,155

F8: The shares held by MMEF XIV, L.P. ("MMEF XIV") as reported herein reflect a pro rata distribution in kind, effected by MMEF XIV to its general partner and limited partners and the further pro rata distribution of such shares by MMEF XIV's general partner to its members, in each case, for no additional consideration subsequent to the Reporting Person's most recent Form 4 filing, which were exempt from reporting pursuant to Rule 16a-13.

F9: Shares are directly held by MMEF XIV. The Reporting Person is a managing member of MVM XIV, the general partner of MMEF XIV. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Menlo Entrepreneurs Fund XIV, L.P.44,100 Reported balance Holding disclosure · report date 2026-09-10 · row 9 Holding and transaction disclosures are not merged.
1 source row

Row 9 · Balance 44,100

F10: The shares held by Menlo Entrepreneurs Fund XIV, L.P. ("MEF XIV") as reported herein reflect a pro rata distribution in kind, effected by MEF XIV to its general partner and limited partners and the further pro rata distribution of such shares by MEF XIV's general partner to its members, in each case, for no additional consideration subsequent to the Reporting Person's most recent Form 4 filing, which were exempt from reporting pursuant to Rule 16a-13.

F11: Shares are directly held by MEF XIV. The Reporting Person is a managing member of MVM XIV, the general partner of MEF XIV. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Menlo Inflection I, L.P.4,825,155 Reported balance Holding disclosure · report date 2026-09-10 · row 10 Holding and transaction disclosures are not merged.
1 source row

Row 10 · Balance 4,825,155

F12: The shares held by Menlo Inflection I, L.P. ("Menlo Inflection I") as reported herein reflect a pro rata distribution in kind, effected by Menlo Inflection I to its general partner and limited partners and the further pro rata distribution of such shares by Menlo Inflection's general partner to its members, in each case, for no additional consideration subsequent to the Reporting Person's most recent Form 4 filing, which were exempt from reporting pursuant to Rule 16a-13.

F13: Shares are directly held by Menlo Inflection I. The Reporting Person is a managing member of MSOP GP, L.L.C. ("MSOP GP"), the general partner of Menlo Inflection I. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy MMSOP, L.P.78,450 Reported balance Holding disclosure · report date 2026-09-10 · row 11 Holding and transaction disclosures are not merged.
1 source row

Row 11 · Balance 78,450

F14: The shares held by MMSOP, L.P. ("MMSOP") as reported herein reflect a pro rata distribution in kind, effected by MMSOP to its general partner and limited partners and the further pro rata distribution of such shares by MMSOP's general partner to its members, in each case, for no additional consideration subsequent to the Reporting Person's most recent Form 4 filing, which were exempt from reporting pursuant to Rule 16a-13.

F15: Shares are directly held by MMSOP. The Reporting Person is a managing member of MSOP GP, the general partner of MMSOP. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust716 Reported balance Holding disclosure · report date 2026-09-10 · row 12 Holding and transaction disclosures are not merged.
1 source row

Row 12 · Balance 716

F16: The shares held by the Reporting Person as reported herein reflect the receipt of shares pursuant to the pro rata distribution in kind described in footnote (8), which was exempt from reporting pursuant to Rule 16a-13.

F17: The shares are held by a family trust, of which the Reporting Person is a trustee. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his proportionate pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeDirect304,843 Reported balance Holding disclosure · report date 2026-09-10 · row 13 Holding and transaction disclosures are not merged.
1 source row

Row 13 · Balance 304,843

F18: The shares held by the Reporting Person as reported herein reflect the receipt of shares pursuant to the pro rata distributions in kind described in footnotes (6), (8), (10), (12) and (14), which were exempt from reporting pursuant to Rule 16a-13.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F2: Securities are directly held by Menlo Inflection II, L.P. ("Menlo Inflection II"). The Reporting Person is a managing member of MSOP GP II, L.L.C. ("MSOP GP II"), the general partner of Menlo Inflection II. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F3: Securities are directly held by MM Inflection, L.P. ("MM Inflection"). The Reporting Person is a managing member of MSOP GP II, the general partner of MM Inflection. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F4: Securities are directly held by Menlo Entrepreneurs Inflection Fund, L.P. ("ME Inflection"). The Reporting Person is a managing member of MSOP GP II, the general partner of ME Inflection. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F5: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.185, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F6: The shares held by Menlo Ventures XIV, L.P. ("Menlo XIV") as reported herein reflect a pro rata distribution in kind, effected by Menlo XIV to its general partner and limited partners and the further pro rata distribution of such shares by Menlo XIV's general partner to its members, in each case, for no additional consideration subsequent to the Reporting Person's most recent Form 4 filing, which were exempt from reporting pursuant to Rule 16a-13.

F7: Shares are directly held by Menlo XIV. The Reporting Person is a managing member of MV Management XIV, L.L.C. ("MVM XIV"), the general partner of Menlo XIV. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F8: The shares held by MMEF XIV, L.P. ("MMEF XIV") as reported herein reflect a pro rata distribution in kind, effected by MMEF XIV to its general partner and limited partners and the further pro rata distribution of such shares by MMEF XIV's general partner to its members, in each case, for no additional consideration subsequent to the Reporting Person's most recent Form 4 filing, which were exempt from reporting pursuant to Rule 16a-13.

F9: Shares are directly held by MMEF XIV. The Reporting Person is a managing member of MVM XIV, the general partner of MMEF XIV. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F10: The shares held by Menlo Entrepreneurs Fund XIV, L.P. ("MEF XIV") as reported herein reflect a pro rata distribution in kind, effected by MEF XIV to its general partner and limited partners and the further pro rata distribution of such shares by MEF XIV's general partner to its members, in each case, for no additional consideration subsequent to the Reporting Person's most recent Form 4 filing, which were exempt from reporting pursuant to Rule 16a-13.

F11: Shares are directly held by MEF XIV. The Reporting Person is a managing member of MVM XIV, the general partner of MEF XIV. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F12: The shares held by Menlo Inflection I, L.P. ("Menlo Inflection I") as reported herein reflect a pro rata distribution in kind, effected by Menlo Inflection I to its general partner and limited partners and the further pro rata distribution of such shares by Menlo Inflection's general partner to its members, in each case, for no additional consideration subsequent to the Reporting Person's most recent Form 4 filing, which were exempt from reporting pursuant to Rule 16a-13.

F13: Shares are directly held by Menlo Inflection I. The Reporting Person is a managing member of MSOP GP, L.L.C. ("MSOP GP"), the general partner of Menlo Inflection I. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F14: The shares held by MMSOP, L.P. ("MMSOP") as reported herein reflect a pro rata distribution in kind, effected by MMSOP to its general partner and limited partners and the further pro rata distribution of such shares by MMSOP's general partner to its members, in each case, for no additional consideration subsequent to the Reporting Person's most recent Form 4 filing, which were exempt from reporting pursuant to Rule 16a-13.

F15: Shares are directly held by MMSOP. The Reporting Person is a managing member of MSOP GP, the general partner of MMSOP. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F16: The shares held by the Reporting Person as reported herein reflect the receipt of shares pursuant to the pro rata distribution in kind described in footnote (8), which was exempt from reporting pursuant to Rule 16a-13.

F17: The shares are held by a family trust, of which the Reporting Person is a trustee. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his proportionate pecuniary interest therein.

F18: The shares held by the Reporting Person as reported herein reflect the receipt of shares pursuant to the pro rata distributions in kind described in footnotes (6), (8), (10), (12) and (14), which were exempt from reporting pursuant to Rule 16a-13.

ROKU, INC

Report date May 29, 2018 · Filed May 31, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee footnote9,938,668 Reported balance After 2018-05-29 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2018-05-29 · Other · Disposed 4,650,000 · Balance 9,938,668

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) 4,532,166 shares by Menlo X, (ii) 79,312 shares by MMEF X, and (iii) 38,522 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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his proportionate pecuniary interest therein.

F3: 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.

Class A Common StockSEC Table I · non-derivativeIndirectSee footnote1,154,985 Reported balance After 2018-05-29 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2018-05-29 · Other · Acquired 1,154,985 · Balance 1,154,985

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

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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his proportionate pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee footnote0 Reported balance After 2018-05-29 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2018-05-29 · Other · Disposed 1,154,985 · Balance 0

F6: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his proportionate pecuniary interest therein.

F5: Shares are held by MVM-X.

Class A Common StockSEC Table I · non-derivativeIndirectSee footnote150,603 Reported balance After 2018-05-29 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2018-05-29 · Other · Acquired 63,225 · Balance 150,603

F7: Represents a change in the form of ownership from one form of indirect ownership to another by virtue of the receipt of (i) 62,993 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MVM-X described in footnote (6), and (ii) 232 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MMEF X described in footnote (2).

F8: The shares are held by the Shawn T. Carolan and Jennifer M. Carolan, Trustees of the Carolan Family Trust Dated November 4, 2010 (the "Trust"). The Reporting Person is a trustee of the Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Trust except to the extent of his proportionate pecuniary interest therein.

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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his 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) 4,532,166 shares by Menlo X, (ii) 79,312 shares by MMEF X, and (iii) 38,522 shares by MEF X.

F3: 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.

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

F5: Shares are held by MVM-X.

F6: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

F7: Represents a change in the form of ownership from one form of indirect ownership to another by virtue of the receipt of (i) 62,993 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MVM-X described in footnote (6), and (ii) 232 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MMEF X described in footnote (2).

F8: The shares are held by the Shawn T. Carolan and Jennifer M. Carolan, Trustees of the Carolan Family Trust Dated November 4, 2010 (the "Trust"). The Reporting Person is a trustee of the Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Trust except to the extent of his proportionate pecuniary interest therein.

Transaction history

JSON API
Reset

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
September 11, 2026 Filed Sep 15, 2026 01:55 UTC Chime Financial, Inc. CHYM · Entity 2294 SaleClass A Common Stock 1,800 $33.05 $59,498.82
Disclosure

SEC source: 0001376066-26-000007 · form4-09152026_010937.xml · nonDerivative · entry 6

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Menlo Entrepreneurs Inflection Fund, L.P.

Disclosed balance after: 0

F5 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.185, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F4 · ownership.nature: Securities are directly held by Menlo Entrepreneurs Inflection Fund, L.P. ("ME Inflection"). The Reporting Person is a managing member of MSOP GP II, the general partner of ME Inflection. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
September 11, 2026 Filed Sep 15, 2026 01:55 UTC Chime Financial, Inc. CHYM · Entity 2294 SaleClass A Common Stock 2,770 $33.05 $91,562.07
Disclosure

SEC source: 0001376066-26-000007 · form4-09152026_010937.xml · nonDerivative · entry 5

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By MM Inflection, L.P.

Disclosed balance after: 0

F5 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.185, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Securities are directly held by MM Inflection, L.P. ("MM Inflection"). The Reporting Person is a managing member of MSOP GP II, the general partner of MM Inflection. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
September 11, 2026 Filed Sep 15, 2026 01:55 UTC Chime Financial, Inc. CHYM · Entity 2294 SaleClass A Common Stock 272,437 $33.05 $9,005,377.79
Disclosure

SEC source: 0001376066-26-000007 · form4-09152026_010937.xml · nonDerivative · entry 4

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Menlo Inflection II, L.P.

Disclosed balance after: 0

F5 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.185, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Securities are directly held by Menlo Inflection II, L.P. ("Menlo Inflection II"). The Reporting Person is a managing member of MSOP GP II, L.L.C. ("MSOP GP II"), the general partner of Menlo Inflection II. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
September 10, 2026 Filed Sep 15, 2026 01:55 UTC Chime Financial, Inc. CHYM · Entity 2294 SaleClass A Common Stock 1,965 $33.21 $65,248.02
Disclosure

SEC source: 0001376066-26-000007 · form4-09152026_010937.xml · nonDerivative · entry 3

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Menlo Entrepreneurs Inflection Fund, L.P.

Disclosed balance after: 1,800

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F4 · ownership.nature: Securities are directly held by Menlo Entrepreneurs Inflection Fund, L.P. ("ME Inflection"). The Reporting Person is a managing member of MSOP GP II, the general partner of ME Inflection. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
September 10, 2026 Filed Sep 15, 2026 01:55 UTC Chime Financial, Inc. CHYM · Entity 2294 SaleClass A Common Stock 3,023 $33.21 $100,379.02
Disclosure

SEC source: 0001376066-26-000007 · form4-09152026_010937.xml · nonDerivative · entry 2

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By MM Inflection, L.P.

Disclosed balance after: 2,770

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Securities are directly held by MM Inflection, L.P. ("MM Inflection"). The Reporting Person is a managing member of MSOP GP II, the general partner of MM Inflection. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
September 10, 2026 Filed Sep 15, 2026 01:55 UTC Chime Financial, Inc. CHYM · Entity 2294 SaleClass A Common Stock 297,318 $33.21 $9,872,473.92
Disclosure

SEC source: 0001376066-26-000007 · form4-09152026_010937.xml · nonDerivative · entry 1

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Menlo Inflection II, L.P.

Disclosed balance after: 272,437

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions at prices ranging from $33.00 to $33.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Securities are directly held by Menlo Inflection II, L.P. ("Menlo Inflection II"). The Reporting Person is a managing member of MSOP GP II, L.L.C. ("MSOP GP II"), the general partner of Menlo Inflection II. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Read SEC document
June 02, 2026 Filed Jun 4, 2026 21:21 UTC Chime Financial, Inc. CHYM · Entity 2294 GrantClass A Common Stock 10,753 $0.00 $0.00
Disclosure

SEC source: 0001376066-26-000004 · form4-06042026_090608.xml · nonDerivative · entry 1

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,381

F1 · shares: These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock. 100% of the RSUs shall vest on the earlier of (i) June 2, 2027 or (ii) the day immediately before the date of the Issuer's next annual meeting, subject to the Reporting Person continuing as a service provider through each such date.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 22:07 UTC Chime Financial, Inc. CHYM · Entity 2294 GrantClass A Common Stock 7,628 $0.00 $0.00
Disclosure

SEC source: 0001376066-25-000003 · wk-form4_1756505244.xml · nonDerivative · entry 1

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,628

F1 · shares: These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock. One-fourth of the RSUs shall vest on November 27, 2025 and quarterly thereafter, subject to the Reporting Person continuing as a service provider through each such date.

F2 · balance_after: These securities are RSUs. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock, subject to the applicable vesting schedule and conditions of each RSU.

Read SEC document
June 13, 2025 Filed Jun 13, 2025 23:38 UTC Chime Financial, Inc. CHYM · Entity 2294 ConversionSeries E Preferred Stock · Derivative 579,313 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-017326 · form4-06132025_110652.xml · derivative · entry 6

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 579,313 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the IPO and had no expiration date.

F3 · price: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the IPO and had no expiration date.

F3 · derivative.exercise_date: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the IPO and had no expiration date.

F3 · derivative.expiration_date: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the IPO and had no expiration date.

F5 · ownership.nature: The Reporting Person is a managing member of each of: (i) MSOP GP, L.L.C., the general partner of the Menlo Inflection I Funds; (ii) MV Management XIV, L.L.C., the general partner of the Menlo XIV Funds; and (iii) MSOP GP II, L.L.C., the general partner of the Menlo Inflection II Funds. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein.

F9 · ownership.nature: These shares were held as follows: (i) 569,755 shares held by Menlo Inflection II; (ii) 5,793 shares held by MM Inflection; and (iii) 3,765 shares held by Menlo Entrepreneurs Inflection Fund.

Read SEC document
June 13, 2025 Filed Jun 13, 2025 23:38 UTC Chime Financial, Inc. CHYM · Entity 2294 ConversionSeries D Preferred Stock · Derivative 1,339,780 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-017326 · form4-06132025_110652.xml · derivative · entry 5

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,339,780 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the IPO and had no expiration date.

F2 · price: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the IPO and had no expiration date.

F2 · derivative.exercise_date: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the IPO and had no expiration date.

F2 · derivative.expiration_date: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the IPO and had no expiration date.

F5 · ownership.nature: The Reporting Person is a managing member of each of: (i) MSOP GP, L.L.C., the general partner of the Menlo Inflection I Funds; (ii) MV Management XIV, L.L.C., the general partner of the Menlo XIV Funds; and (iii) MSOP GP II, L.L.C., the general partner of the Menlo Inflection II Funds. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein.

F8 · ownership.nature: These shares were held as follows: (i) 1,318,350 shares held by Menlo Inflection I; and (ii) 21,430 shares held by MMSOP.

Read SEC document
June 13, 2025 Filed Jun 13, 2025 23:38 UTC Chime Financial, Inc. CHYM · Entity 2294 ConversionSeries C Preferred Stock · Derivative 15,523,620 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-017326 · form4-06132025_110652.xml · derivative · entry 4

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 15,523,620 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 Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock (the "IPO") and had no expiration date.

F1 · price: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock (the "IPO") and had no expiration date.

F1 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock (the "IPO") and had no expiration date.

F1 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock (the "IPO") and had no expiration date.

F5 · ownership.nature: The Reporting Person is a managing member of each of: (i) MSOP GP, L.L.C., the general partner of the Menlo Inflection I Funds; (ii) MV Management XIV, L.L.C., the general partner of the Menlo XIV Funds; and (iii) MSOP GP II, L.L.C., the general partner of the Menlo Inflection II Funds. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein.

F7 · ownership.nature: These shares were held as follows: (i) 8,331,960 shares held by Menlo Inflection I; (ii) 6,865,680 shares held by Menlo Ventures XIV; (iii) 135,470 shares held by MMSOP; (iv) 102,310 shares held by MMEF XIV; and (v) 88,200 shares held by Menlo Entrepreneurs Fund XIV.

Read SEC document
June 13, 2025 Filed Jun 13, 2025 23:38 UTC Chime Financial, Inc. CHYM · Entity 2294 OtherClass A Common Stock 17,442,713 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-017326 · form4-06132025_110652.xml · nonDerivative · entry 3

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 17,442,713

F6 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A Common Stock immediately prior to the completion of the IPO.

F6 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A Common Stock immediately prior to the completion of the IPO.

F4 · balance_after: These shares are held as follows: (i) 9,650,310 shares held by Menlo Inflection I, L.P. ("Menlo Inflection I"); (ii) 6,865,680 shares held by Menlo Ventures XIV, L.P. ("Menlo Ventures XIV"); (iii) 156,900 shares held by MMSOP, L.P. ("MMSOP" and, collectively with Menlo Inflection I, the "Menlo Inflection I Funds"); (iv) 102,310 shares held by MMEF XIV, L.P. ("MMEF XIV"); (v) 88,200 shares held by Menlo Entrepreneurs Fund XIV, L.P. ("Menlo Entrepreneurs Fund XIV" and together with Menlo Ventures XIV and MMEF XIV, the "Menlo XIV Funds"); (vi) 569,755 shares held by Menlo Inflection II, L.P. ("Menlo Inflection II"); (vii) 5,793 shares held by MM Inflection, L.P. ("MM Inflection"); and (viii) 3,765 shares held by Menlo Entrepreneurs Inflection Fund, L.P. ("Menlo Entrepreneurs Inflection Fund" and, together with Menlo Inflection II and MM Inflection, the "Menlo Inflection II Funds").

F5 · ownership.nature: The Reporting Person is a managing member of each of: (i) MSOP GP, L.L.C., the general partner of the Menlo Inflection I Funds; (ii) MV Management XIV, L.L.C., the general partner of the Menlo XIV Funds; and (iii) MSOP GP II, L.L.C., the general partner of the Menlo Inflection II Funds. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein.

Read SEC document
June 13, 2025 Filed Jun 13, 2025 23:38 UTC Chime Financial, Inc. CHYM · Entity 2294 OtherCommon Stock 17,442,713 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-017326 · form4-06132025_110652.xml · nonDerivative · entry 2

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F6 · kind: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A Common Stock immediately prior to the completion of the IPO.

F6 · price: Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A Common Stock immediately prior to the completion of the IPO.

F5 · ownership.nature: The Reporting Person is a managing member of each of: (i) MSOP GP, L.L.C., the general partner of the Menlo Inflection I Funds; (ii) MV Management XIV, L.L.C., the general partner of the Menlo XIV Funds; and (iii) MSOP GP II, L.L.C., the general partner of the Menlo Inflection II Funds. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein.

Read SEC document
June 13, 2025 Filed Jun 13, 2025 23:38 UTC Chime Financial, Inc. CHYM · Entity 2294 ConversionCommon Stock 17,442,713 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-017326 · form4-06132025_110652.xml · nonDerivative · entry 1

CAROLAN SHAWN T · CIK 0001376066 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 17,442,713

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 Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock (the "IPO") and had no expiration date.

F2 · price: Each share of Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the IPO and had no expiration date.

F3 · price: Each share of Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the IPO and had no expiration date.

F4 · balance_after: These shares are held as follows: (i) 9,650,310 shares held by Menlo Inflection I, L.P. ("Menlo Inflection I"); (ii) 6,865,680 shares held by Menlo Ventures XIV, L.P. ("Menlo Ventures XIV"); (iii) 156,900 shares held by MMSOP, L.P. ("MMSOP" and, collectively with Menlo Inflection I, the "Menlo Inflection I Funds"); (iv) 102,310 shares held by MMEF XIV, L.P. ("MMEF XIV"); (v) 88,200 shares held by Menlo Entrepreneurs Fund XIV, L.P. ("Menlo Entrepreneurs Fund XIV" and together with Menlo Ventures XIV and MMEF XIV, the "Menlo XIV Funds"); (vi) 569,755 shares held by Menlo Inflection II, L.P. ("Menlo Inflection II"); (vii) 5,793 shares held by MM Inflection, L.P. ("MM Inflection"); and (viii) 3,765 shares held by Menlo Entrepreneurs Inflection Fund, L.P. ("Menlo Entrepreneurs Inflection Fund" and, together with Menlo Inflection II and MM Inflection, the "Menlo Inflection II Funds").

F5 · ownership.nature: The Reporting Person is a managing member of each of: (i) MSOP GP, L.L.C., the general partner of the Menlo Inflection I Funds; (ii) MV Management XIV, L.L.C., the general partner of the Menlo XIV Funds; and (iii) MSOP GP II, L.L.C., the general partner of the Menlo Inflection II Funds. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein.

Read SEC document
May 29, 2018 Filed May 31, 2018 21:26 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 63,225 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-014571 · doc4.xml · nonDerivative · entry 4

CAROLAN SHAWN T · CIK 0001376066 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 150,603

F7 · kind: Represents a change in the form of ownership from one form of indirect ownership to another by virtue of the receipt of (i) 62,993 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MVM-X described in footnote (6), and (ii) 232 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MMEF X described in footnote (2).

F7 · price: Represents a change in the form of ownership from one form of indirect ownership to another by virtue of the receipt of (i) 62,993 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MVM-X described in footnote (6), and (ii) 232 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MMEF X described in footnote (2).

F8 · ownership.nature: The shares are held by the Shawn T. Carolan and Jennifer M. Carolan, Trustees of the Carolan Family Trust Dated November 4, 2010 (the "Trust"). The Reporting Person is a trustee of the Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Trust except to the extent of his proportionate pecuniary interest therein.

Read SEC document
May 29, 2018 Filed May 31, 2018 21:26 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 1,154,985 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-014571 · doc4.xml · nonDerivative · entry 3

CAROLAN SHAWN T · CIK 0001376066 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

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.

F6 · price: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his proportionate pecuniary interest therein.

F5 · ownership.nature: Shares are held by MVM-X.

Read SEC document
May 29, 2018 Filed May 31, 2018 21:26 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 1,154,985 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-014571 · doc4.xml · nonDerivative · entry 2

CAROLAN SHAWN T · CIK 0001376066 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

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)

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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his proportionate pecuniary interest therein.

F4 · ownership.nature: 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 21:26 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 4,650,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-014571 · doc4.xml · nonDerivative · entry 1

CAROLAN SHAWN T · CIK 0001376066 · 10% 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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his 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 15, 2018 Filed May 15, 2018 22:45 UTC ROKU, INC ROKU · Entity 2524 GiftClass A Common Stock 31,900 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-012962 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Shawn T. Carolan and Jennifer M. Carolan, Trustees of the Carolan Family Trust Dated Nov 4, 2010

Disclosed balance after: 87,378

F8 · price: Carolan made a bona fide gift of 31,900 shares of Class A Common Stock in the form of a charitable donation.

Read SEC document
May 11, 2018 Filed May 15, 2018 22:45 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 61,046 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-012962 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Shawn T. Carolan and Jennifer M. Carolan, Trustees of the Carolan Family Trust Dated Nov 4, 2010

Disclosed balance after: 119,278

F7 · kind: Represents a change in the form of ownership from one form of indirect ownership to another by virtue of the receipt of (i) 60,822 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MVM-X described in footnote (6), and (ii) 224 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MMEF X described in footnote (2). The shares are held by the Shawn T. Carolan and Jennifer M. Carolan, Trustees of the Carolan Family Trust Dated November 4, 2010 (the "Trust"). The Reporting Person is a trustee of the Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Trust except to the extent of his proportionate pecuniary interest therein.

F7 · price: Represents a change in the form of ownership from one form of indirect ownership to another by virtue of the receipt of (i) 60,822 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MVM-X described in footnote (6), and (ii) 224 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MMEF X described in footnote (2). The shares are held by the Shawn T. Carolan and Jennifer M. Carolan, Trustees of the Carolan Family Trust Dated November 4, 2010 (the "Trust"). The Reporting Person is a trustee of the Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Trust except to the extent of his proportionate pecuniary interest therein.

Read SEC document
May 11, 2018 Filed May 15, 2018 22:45 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 1,115,179 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-012962 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

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.

F6 · price: Represents a pro-rata in-kind distribution of shares of Class A Common Stock by MVM-X, without consideration, to its members.

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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his proportionate pecuniary interest therein.

F6 · ownership.nature: 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 22:45 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 1,115,179 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-012962 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 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).

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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his proportionate pecuniary interest therein.

F5 · ownership.nature: Shares are held by MVM-X.

Read SEC document
May 11, 2018 Filed May 15, 2018 22:45 UTC ROKU, INC ROKU · Entity 2524 OtherClass A Common Stock 4,500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-012962 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his 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 20:32 UTC ROKU, INC ROKU · Entity 2524 ConversionClass B Common Stock · Derivative 23,388,668 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-008706 · doc4.xml · derivative · entry 6

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

F9 · 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.

F9 · 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.

F9 · 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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his 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 20:32 UTC ROKU, INC ROKU · Entity 2524 OtherClass B Common Stock 58,232 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-008706 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Shawn T. Carolan and Jennifer M. Carolan, Trustees of the Carolan Family Trust Dated November 4,

Disclosed balance after: 58,232

F8 · kind: Represents a change in the form of ownership from one form of indirect ownership to another by virtue of the receipt of (i) 58,232 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MVM-X described in footnote (7), and (ii) 214 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MMEF X described in footnote (3). The shares are held by the Shawn T. Carolan and Jennifer M. Carolan, Trustees of the Carolan Family Trust Dated November 4, 2010 (the "Trust"). The Reporting Person is a trustee of the Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Trust except to the extent of his proportionate pecuniary interest therein.

F8 · price: Represents a change in the form of ownership from one form of indirect ownership to another by virtue of the receipt of (i) 58,232 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MVM-X described in footnote (7), and (ii) 214 shares in the pro rata in kind distribution of Class A Common Stock of the Issuer by MMEF X described in footnote (3). The shares are held by the Shawn T. Carolan and Jennifer M. Carolan, Trustees of the Carolan Family Trust Dated November 4, 2010 (the "Trust"). The Reporting Person is a trustee of the Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Trust except to the extent of his proportionate pecuniary interest therein.

Read SEC document
March 26, 2018 Filed Mar 28, 2018 20:32 UTC ROKU, INC ROKU · Entity 2524 OtherClass B Common Stock 1,063,771 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-008706 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F7 · 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.

F7 · 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.

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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his proportionate pecuniary interest therein.

F6 · ownership.nature: Shares are held by MVM-X.

Read SEC document
March 26, 2018 Filed Mar 28, 2018 20:32 UTC ROKU, INC ROKU · Entity 2524 OtherClass B Common Stock 1,063,771 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-008706 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

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).

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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his proportionate pecuniary interest therein.

F6 · ownership.nature: Shares are held by MVM-X.

Read SEC document
March 26, 2018 Filed Mar 28, 2018 20:32 UTC ROKU, INC ROKU · Entity 2524 OtherClass B Common Stock 4,300,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-008706 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his 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 20:32 UTC ROKU, INC ROKU · Entity 2524 ConversionClass B Common Stock 23,388,668 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-008706 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 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. The Reporting Person disclaims beneficial ownership of the shares reported herein as held by the Menlo Funds and MVM-X, except to the extent of his 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 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionClass B Common Stock · Derivative 6,900,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054761 · doc4.xml · derivative · entry 12

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

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

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 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionClass B Common Stock · Derivative 30,224,580 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054761 · doc4.xml · derivative · entry 11

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

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

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 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries H Preferred Stock · Derivative 327,032 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054761 · doc4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 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.

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

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 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries G Preferred Stock · Derivative 897,745 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054761 · doc4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 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.

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

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 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries E Preferred Stock · Derivative 1,804,332 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054761 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 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.

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

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 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries D Preferred Stock · Derivative 829,220 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054761 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 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.

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

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 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries C-2 Preferred Stock · Derivative 7,700,466 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-054761 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class B Common Stock · 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.

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

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 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries C-1 Preferred Stock · Derivative 9,240,558 $0.00 $0.00
Disclosure

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

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

Expires not disclosed

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

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

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

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

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

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

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries B Preferred Stock · Derivative 6,396,068 $0.00 $0.00
Disclosure

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

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

Expires not disclosed

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

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

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

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

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

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

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionSeries A Preferred Stock · Derivative 3,029,159 $0.00 $0.00
Disclosure

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

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

Expires not disclosed

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

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

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

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

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

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

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:18 UTC ROKU, INC ROKU · Entity 2524 SaleClass A Common Stock 6,900,000 $14.00 $96,600,000.00
Disclosure

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

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

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

Read SEC document
October 02, 2017 Filed Oct 2, 2017 23:18 UTC ROKU, INC ROKU · Entity 2524 ConversionClass A Common Stock 6,900,000 Not disclosed Not disclosed
Disclosure

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,900,000

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

F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day," as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock.

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

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

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.