Roku, Inc. Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2016-01-29: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2015-11-09; Total offering amount $45,500,000.
- 2014-10-22: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2014-10-01; Total offering amount $25,000,000.
- 2012-08-07: Federal exemption Rule 506; Types of securities offered Equity; Date of first sale 2012-07-25; Total offering amount $50,000,000.
- 2012-08-07: Federal exemption Rule 506; Types of securities offered Equity; Debt; OptionToAcquire; SecurityToBeAcquired; Warrants,Convertible Promissory Notes and the underlying shares of Preferred Stock and Common Stock issuable upon the exercise of the Warrants,conversion of the Notes and conversion of the Preferred Stock.; Date of first sale 2012-03-05; Total offering amount $6,249,999.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2016-01-29 | Rule 506(b) | Equity | 2015-11-09 | $45,500,000 | $45,500,000 | $0 | 14 |
| 2014-10-22 | Rule 506(b) | Equity | 2014-10-01 | $25,000,000 | $25,000,000 | $0 | 11 |
| 2012-08-07 | Rule 506 | Equity | 2012-07-25 | $50,000,000 | $44,999,996 | $5,000,004 | 7 |
| 2012-08-07 | Rule 506 | Equity; Debt; OptionToAcquire; SecurityToBeAcquired; Warrants,Convertible Promissory Notes and the underlying shares of Preferred Stock and Common Stock issuable upon the exercise of the Warrants,conversion of the Notes and conversion of the Preferred Stock. | 2012-03-05 | $6,249,999 | $5,000,000 | $1,249,999 | 4 |