Docoh
Loading...

Globespan Capital Partners V

Filed: 28 Mar 18, 8:00pm
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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. Issuer Name and Ticker or Trading Symbol
ROKU, INC [ ROKU ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
DirectorX10% Owner
Officer (give title below)Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/27/2018
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8)4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Class A Common Stock03/27/2018S1,013,457D$33.39(1)3,668,070ISee footnote(2)
Class A Common Stock03/27/2018S117,993D$33.39(1)427,061ISee footnote(3)
Class A Common Stock03/27/2018S13,150D$34.18(4)3,654,920ISee footnote(2)
Class A Common Stock03/27/2018S1,531D$34.18(4)425,530ISee footnote(3)
Class A Common Stock03/28/2018S135,901D$31.22(5)3,519,019ISee footnote(2)
Class A Common Stock03/28/2018S15,815D$31.22(5)409,715ISee footnote(3)
Class A Common Stock03/28/2018S77,509D$32.4(6)3,441,510ISee footnote(2)
Class A Common Stock03/28/2018S9,024D$32.4(6)400,691ISee footnote(3)
Class A Common Stock03/28/2018S28,111D$33.41(7)3,413,399ISee footnote(2)
Class A Common Stock03/28/2018S3,281D$33.41(7)397,410ISee footnote(3)
Class A Common Stock03/28/2018S27,193D$34(8)3,386,206ISee footnote(2)
Class A Common Stock03/28/2018S3,166D$34(8)394,244ISee footnote(3)
Class A Common Stock03/29/2018S75,462D$31.09(9)3,310,744ISee footnote(2)
Class A Common Stock03/29/2018S8,788D$31.09(9)385,456ISee footnote(3)
Class A Common Stock03/29/2018S58,895D$32.51(10)3,251,849ISee footnote(2)
Class A Common Stock03/29/2018S6,855D$32.51(10)378,601ISee footnote(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)2. Conversion or Exercise Price of Derivative Security3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8)5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)8. Price of Derivative Security (Instr. 5)9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
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 transaction was executed in multiple trades at prices ranging from $33.00 to $33.995. The prices above in Column 4 reflect weighted average prices. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
2. Held directly by Globespan Capital Partners V, L.P. ("GCP V").
3. Held directly by another fund affiliated with GCP V.
4. The transaction was executed in multiple trades at prices ranging from $34.00 - $34.58.
5. The transaction was executed in multiple trades at prices ranging from $31.00 - $31.93.
6. The transaction was executed in multiple trades at prices ranging from $32.00 - $32.97.
7. The transaction was executed in multiple trades at prices ranging from $33.04 - $33.98.
8. The transaction was executed in multiple trades at prices ranging from $34.00 - $34.04.
9. The transaction was executed in multiple trades at prices ranging from $31.00 - $31.80.
10. The transaction was executed in multiple trades at prices ranging from $32.00 - $32.70.
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 Partner03/29/2018
Andrew P. Goldfarb, /s/ Andrew P. Goldfarb03/29/2018
** 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 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.