# EDGAR Filing Document

**Accession Number:** 0001428439
**File Stem:** 0001716837-23-000018
**Filing Date:** 2023-3
**Character Count:** 9880
**Document Hash:** a679d69b26ab9f10d027616f6cd8cece
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001716837-23-000018.hdr.sgml**: 20230303

**ACCESSION NUMBER**: 0001716837-23-000018

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230301

**FILED AS OF DATE**: 20230303

**DATE AS OF CHANGE**: 20230303

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Ozgen Mustafa
- **CENTRAL INDEX KEY:** 0001767033

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38211
- **FILM NUMBER:** 23706989

**MAIL ADDRESS:**
- **STREET 1:** 150 WINCHESTER CIRCLE
- **CITY:** LOS GATOS
- **STATE:** CA
- **ZIP:** 95032
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ROKU, INC
- **CENTRAL INDEX KEY:** 0001428439
- **STANDARD INDUSTRIAL CLASSIFICATION:** CABLE & OTHER PAY TELEVISION SERVICES [4841]
- **IRS NUMBER:** 262087865
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1155 COLEMAN AVENUE
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95110
- **BUSINESS PHONE:** 408-446-1459

**MAIL ADDRESS:**
- **STREET 1:** 1155 COLEMAN AVENUE
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95110

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ROKU INC
- **DATE OF NAME CHANGE:** 20080228

## Ex-24

```
<pre>POWER OF ATTORNEY

       Know all by these presents, that the undersigned hereby constitutes and appoints each of Stephen

Kay, Christy Lillquist, Renee Strandness, John McKenna and Alex Kassai, signing individually, the

undersigned's true and lawful attorneys-in fact and agents to:

       (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an

officer, director or beneficial owner of more than 10% of a registered class of securities of Roku,

Inc. (the "Company"), Forms 3, 4 and 5 (including any amendments thereto) in accordance with

Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") and the

rules thereunder and a Form ID, Uniform Application for Access Codes to File on EDGAR;

       (2) do and perform any and all acts for and on behalf of the undersigned that may be

necessary or desirable to execute such Forms 3, 4 or 5 or Form ID (including any amendments

thereto) and timely file such forms with the United States Securities and Exchange Commission

and any stock exchange or similar authority; and

       (3) take any other action of any nature whatsoever in connection with the foregoing

which, in the opinion of such attorney-in-fact, may be of benefit, in the best interest of, or legally

required by, the undersigned, it being understood that the documents executed by such attorney-

in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and

shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-

fact's discretion.

       The undersigned hereby grants to each such attorney-in-fact full power and authority to do and

perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise

of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned

might or could do if personally present, with full power of substitution or revocation, hereby ratifying and

confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully

do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The

undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request

of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's

responsibilities to comply with Section 16 of the Exchange Act.

       This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the

undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of

and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed

writing delivered to the foregoing attorneys-in-fact or (c) as to any attorney-in-fact individually, until

such attorney-in-fact is no longer employed by the Company or Cooley LLP.

       IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of

October 26, 2022.

/s/ Mustafa Ozgen

Mustafa Ozgen

</pre>
```

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Ozgen Mustafa<br><sub>(Last) (First) (Middle)</sub><br>C/O ROKU, INC.<br>1155 COLEMAN<br><sub>(Street)</sub><br>SAN JOSE, CA 95110<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President, Devices_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ROKU, INC [ ROKU ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2023-03-01 |  | M |  | 17290 | A | $0 | 34150 | D |  |
| Class A Common Stock | 2023-03-02 |  | S |  | 8812<sup>(1)</sup> | D | $61.93 | 25338 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Unit | <sup>(2)</sup> | 2023-03-01 |  | M |  |  | 9990 | <sup>(3)</sup> | <sup>(3)</sup> | Class A Common Stock | 9990 | $0 | 0 | D |  |
| Restricted Stock Unit | <sup>(2)</sup> | 2023-03-01 |  | M |  |  | 4758 | <sup>(4)</sup> | <sup>(4)</sup> | Class A Common Stock | 4758 | $0.0 | 42828 | D |  |
| Restricted Stock Unit | <sup>(2)</sup> | 2023-03-01 |  | M |  |  | 2542 | <sup>(5)</sup> | <sup>(5)</sup> | Class A Common Stock | 2542 | $0.0 | 2543 | D |  |

---

### Footnotes:

(1) These shares were sold by the Issuer in order to meet the tax withholding obligations of the reporting person in connection with the vesting of certain RSU awards on March 1, 2023.

(2) Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer.

(3) This RSU vests in sixteen substantially equal quarterly installments. The first installment vested on June 1, 2019.

(4) This RSU vests in twelve substantially equal quarterly installments. The first installment vested on September 1, 2022.

(5) This RSU vests in four substantially equal quarterly installments. The first installment vested on September 1, 2022.

**Signature:** /s/  Renee Strandness, attorney-in-fact  
**Date:** 2023-03-03

### Remarks:

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.**