Roblox Corporation
08/26/2024 | Press release | Distributed by Public on 08/26/2024 18:44
Statement of Changes in Beneficial Ownership - Form 4
Ownership Submission
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
(e.g., puts, calls, warrants, options, convertible securities)
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure.Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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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(e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of Derivate Security | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) | 11. Nature of Indirect Beneficial Ownership |
| Code | V | (A) | (D) | Date Exercisable | Expriation Date | Title | Amount or Number of Shares |
Reporting Owners
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Lee Anthony P C/O ROBLOX CORPORATION 970 PARK PLACE SAN MATEO, CA94403 |
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Signatures
| /s/ Anthony P. Lee | 2024-08-23 |
| **Signature of Reporting Person | Date |
Explanation of Responses:
| (*) | 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). |
| (1) | Represents a pro-rata in kind distribution of shares of the Issuer's Class A Common Stock by Altos Ventures Management, Inc. (AVMI). |
| (2) | These shares are held directly by AVMI. |
| (3) | The reporting person is a member of the board of directors of AVMI, and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. |
| (4) | Represents shares of the Issuer's Class A Common Stock received by the reporting person in distributions from the Altos funds. |
| (5) | Represents a sale of shares of the Issuer's Class A Common Stock by Altos Hybrid 2, L.P. |
| (6) | The price reported in column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $43.40 to $43.66, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| (7) | These shares are held directly by Altos Hybrid 2, L.P. |
| (8) | The general partner of Altos Hybrid 2, L.P. is Altos Hybrid 2 GP, LLC; the general partner of Altos Hybrid 4, L.P. is Altos Hybrid 4 GP, LLC; the general partner of Altos Ventures IV, L.P. is Altos Management Partners IV, LLC; the general partner of Altos Ventures IV Liquidity Fund, L.P. and Altos Ventures IV Reserve Fund, L.P. is Altos IV LR GP, LLC; the general partner of Altos Roblox SPV 1, LLC and Altos Roblox SPV 2, LLC is Altos Roblox Management Partners, LLC; and the general partner of Altos Roblox SPV 2020, LLC is Altos Roblox 2020 Management Partners, LLC (collectively, the General Partners). |
| (9) | The Reporting Person is one of managing members of the general partners and managers of the respective entities that hold shares reported herein (the Altos Funds). The Reporting Person disclaims beneficial ownership of the shares held by the Altos Funds except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of any of the shares held by the Altos Funds for Section 16 or any other purpose. |
| (10) | These shares are held directly by Fallen Leaf Revocable Trust for which the Reporting Person serves as trustee. The Reporting Person disclaims beneficial ownership of the shares except to the extent if his pecuniary interest therein. |
| (11) | These shares are held directly by Fallen Leaf LLC - Sub Fund No. 1 for which the Reporting Person serves as managing member. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. |
| (12) | These shares are held directly by a trust for the daughter of the reporting person, for which the reporting person serves as co-trustee. |
| (13) | These shares are held directly by a trust for the son of the reporting person, for which the reporting person serves as co-trustee. |
| (14) | These shares are held directly by Altos Hybrid 4, L.P. |
| (15) | These shares are held directly by Altos Roblox SPV 1, LLC. |
| (16) | These shares are held directly by Altos Roblox SPV 2, LLC. |
| (17) | These shares are held directly by Altos Roblox SPV 2020, LLC. |
| (18) | These shares are held directly by Altos Ventures IV Liquidity Fund, L.P. |
| (19) | These shares are held directly by Altos Ventures IV Reserve Fund, L.P. |
| (20) | These shares are held directly by Altos Ventures IV, L.P. |