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Globespan Capital Partners V

Filed: 25 Mar 18, 8:00pm
SEC Form 3
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Globespan Capital Partners V LP

(Last)(First)(Middle)
ONE BOSTON PLACE, SUITE 2810

(Street)
BOSTONMA02108

(City)(State)(Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/27/2017
3. Issuer Name and Ticker or Trading Symbol
ROKU, INC [ ROKU ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
DirectorX10% Owner
Officer (give title below)Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
XForm filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)2. Amount of Securities Beneficially Owned (Instr. 4)3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)4. Conversion or Exercise Price of Derivative Security5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Series A Preferred(1)(1)Class B Common Stock166,666(1)ISee footnotes(2)(4)
Series D Preferred(1)(1)Class B Common Stock3,059,947(1)ISee footnotes(2)(4)
Series E Preferred(1)(1)Class B Common Stock1,236,893(1)ISee footnotes(2)(4)
Series H Preferred(1)(1)Class B Common Stock218,021(1)ISee footnotes(2)(4)
Series H Preferred(1)(1)Class B Common Stock545,054(1)ISee footnotes(3)(4)
1. Name and Address of Reporting Person*
Globespan Capital Partners V LP

(Last)(First)(Middle)
ONE BOSTON PLACE, SUITE 2810

(Street)
BOSTONMA02108

(City)(State)(Zip)
1. Name and Address of Reporting Person*
Goldfarb Andrew P

(Last)(First)(Middle)
ONE BOSTON PLACE, SUITE 2810

(Street)
BOSTONMA02108

(City)(State)(Zip)
Explanation of Responses:
1. 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.
2. Held directly by Globespan Capital Partners V, L.P. ("GCP V").
3. Held directly by another fund affiliated with GCP V.
4. The filing of this Form 3 shall not be construed as an admission that the Reporting Persons are or were for the purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or otherwise the beneficial owners of any of the shares of common stock, of the Issuer. The Reporting Persons disclaim such beneficial ownership, except to the extent of their pecuniary interest.
Remarks:
Globespan Capital Partners V, L.P., By: /s/ Andrew P. Goldfarb, Name: Andrew P. Goldfarb, Title: Executive Managing Director of the General Partner of the General Partner03/26/2018
Andrew P. Goldfarb, /s/ Andrew P. Goldfarb03/26/2018
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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