SC 13G/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. 1)*

 

 

Roku, Inc.

(Name of Issuer)

Class A Common Stock

(Title of Class of Securities)

77543R 10 2

(CUSIP Number)

December 31, 2018

(Date of Event Which Requires Filing of This Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

Rule 13d-1(d)

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 


CUSIP No. 77543R 10 2  

 

  1.   

Name of Reporting Persons

 

Menlo Ventures X, L.P.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

(1)

This statement on Schedule 13G is filed by Menlo Ventures X, L.P. (“Menlo X”), MMEF X, L.P. (“MMEF X”), Menlo Entrepreneurs Fund X, L.P. (“MEF X”), MV Management X, L.L.C. (“MVM-X”), Shawn T. Carolan (“STC”), H.D. Montgomery (“HDM”), Douglas C. Carlisle (“DCC”), John W. Jarve (“JWJ”) and Mark A. Siegel (“MAS,” together with Menlo X, MMEF X, MEF X, MVM-X, STC, HDM, DCC and JWJ, the “Reporting Persons”). The Reporting Persons expressly disclaim status as a “group” for purposes of this Schedule 13G.

 

Page 2


CUSIP No. 77543R 10 2  

 

  1.   

Name of Reporting Persons

 

Menlo Entrepreneurs Fund X, L.P.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

(1)

This statement on Schedule 13G is filed by the Reporting Persons.

 

Page 3


CUSIP No. 77543R 10 2  

 

  1.   

Name of Reporting Persons

 

MMEF X, L.P.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

(1)

This statement on Schedule 13G is filed by the Reporting Persons.

 

Page 4


CUSIP No. 77543R 10 2  

 

  1.   

Name of Reporting Persons

 

MV Management X, L.L.C.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%

12.  

Type of Reporting Person (See Instructions)

 

CO

 

(1)

This statement on Schedule 13G is filed by the Reporting Persons.

 

Page 5


CUSIP No. 77543R 10 2  

 

  1.   

Name of Reporting Persons

 

Henry D. Montgomery

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1)

This statement on Schedule 13G is filed by the Reporting Persons.

 

Page 6


CUSIP No. 77543R 10 2  

 

  1.   

Name of Reporting Persons

 

Douglas C. Carlisle

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1)

This statement on Schedule 13G is filed by the Reporting Persons.

 

Page 7


CUSIP No. 77543R 10 2  

 

  1.   

Name of Reporting Persons

 

John W. Jarve

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1)

This statement on Schedule 13G is filed by the Reporting Persons.

 

Page 8


CUSIP No. 77543R 10 2  

 

  1.   

Name of Reporting Persons

 

Mark A. Siegel

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1)

This statement on Schedule 13G is filed by the Reporting Persons.

 

Page 9


CUSIP No. 77543R 10 2  

 

  1.   

Name of Reporting Persons

 

Shawn T. Carolan

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

(1)

This statement on Schedule 13G is filed by the Reporting Persons.

 

Page 10


Item 1.

 

  (a)

Name of Issuer: Roku, Inc.

 

  (b)

Address of Issuer’s Principal Executive Offices: 150 Winchester Circle, Los Gatos, California 95032

 

Item 2.

 

  (a)

Name of Person Filing:

Menlo Ventures X, L.P. (“MV X”)

Menlo Entrepreneurs Fund X, L.P. (“MEF X”)

MMEF X, L.P. (“MMEF X”)

MV Management X, L.L.C. (“MVM X”)

Henry D. Montgomery (“HDM”)

Douglas C. Carlisle (“DCC”)

John W. Jarve (“JWJ”)

Mark A. Siegel (“MAS”)

Shawn T. Carolan (“STC”)

 

  (b)

Address of Principal Business Office or, if none, Residence

2884 Sand Hill Road, Suite 100

Menlo Park, California 94025

 

  (c)

Citizenship:

 

Entities:    MV X   -    Delaware
   MEF X   -    Delaware
   MMEF X   -    Delaware
   MVM X   -    Delaware
Individuals:    HDM   -    United States
   DCC   -    United States
   JWJ   -    United States
   MAS   -    United States
   STC   -    United States

 

  (d)

Title of Class of Securities: Common Stock

 

  (e)

CUSIP Number: 77543R 10 2

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:

Not applicable

 

Page 11


Item 4.

Ownership. The following information with respect to the ownership of the Common Stock by the Reporting Persons filing this statement on Schedule 13G is provided as of December 31, 2018:

 

Reporting Persons

   Shares Held
Directly
     Sole Voting
Power
     Shared
Voting
Power
     Sole
Dispositive
Power
     Shared
Dispositive
Power
     Beneficial
Ownership
     Percentage of
Class
 

MV X

     0        0        0        0        0        0        0.0

MEF X

     0        0        0        0        0        0        0.0

MMEF X

     0        0        0        0        0        0        0.0

MVM X

     0        0        0        0        0        0        0.0

HDM

     0        0        0        0        0        0        0.0

DCC

     0        0        0        0        0        0        0.0

JWJ

     0        0        0        0        0        0        0.0

MAS

     0        0        0        0        0        0        0.0

STC

     0        0        0        0        0        0        0.0

 

Item 5.

Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  .

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

Not applicable

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

Not applicable

 

Item 8.

Identification and Classification of Members of the Group

Not applicable

 

Item 9.

Notice of Dissolution of a Group

Not applicable

 

Item 10.

Certification

Not applicable

 

Page 12


SIGNATURES

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date: January 28, 2019

 

MENLO VENTURES X, L.P.
By:   MV Management X, L.L.C., its general partner
  By:  

/s/ Mark A. Siegel

    Mark A. Siegel
    Managing Member
MENLO ENTREPRENEURS FUND X, L.P
By:   MV Management X, L.L.C., its general partner
  By:  

/s/ Mark A. Siegel

    Mark A. Siegel
    Managing Member
MMEF X, L.P
By:   MV Management X, L.L.C., its general partner
  By:  

/s/ Mark A. Siegel

    Mark A. Siegel
    Managing Member
MV MANAGEMENT X, L.L.C.
  By:  

/s/ Mark A. Siegel

    Mark A. Siegel
    Managing Member

        /s/ Henry D. Montgomery

Henry D. Montgomery

        /s/ John W. Jarve

John W. Jarve

        /s/ Douglas C. Carlisle

Douglas C. Carlisle

        /s/ Mark A. Siegel

Mark A. Siegel

        /s/ Shawn T. Carolan

Shawn T. Carolan

Exhibit(s):        99.1: Joint Filing Statement

 

Page 13

EX-99.1

EXHIBIT 99.1

AGREEMENT

Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of the shares of Common Stock of Roku, Inc.

Date: January 28, 2019

 

MENLO VENTURES X, L.P.
By:   MV Management X, L.L.C., its general partner
  By:  

/s/ Mark A. Siegel

    Mark A. Siegel
    Managing Member
MENLO ENTREPRENEURS FUND X, L.P
By:   MV Management X, L.L.C., its general partner
  By:  

/s/ Mark A. Siegel

    Mark A. Siegel
    Managing Member
MMEF X, L.P
By:   MV Management X, L.L.C., its general partner
  By:  

/s/ Mark A. Siegel

    Mark A. Siegel
    Managing Member
MV MANAGEMENT X, L.L.C.
  By:  

/s/ Mark A. Siegel

    Mark A. Siegel
    Managing Member

        /s/ Henry D. Montgomery

Henry D. Montgomery

        /s/ John W. Jarve

John W. Jarve

        /s/ Douglas C. Carlisle

Douglas C. Carlisle

        /s/ Mark A. Siegel

Mark A. Siegel

        /s/ Shawn T. Carolan

Shawn T. Carolan

 

Page 14