SEC Form 4
FORM 4 |
UNITED 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 |
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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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Roblox Corp [ RBLX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/09/2024 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 02/09/2024 | J(1) | 380,198 | A | $0 | 4,087,598 | I | See Footnotes(2) | ||
Class A Common Stock | 02/09/2024 | J(3) | 44,235 | A | $0 | 473,231 | I | See Footnotes(4) | ||
Class A Common Stock | 02/09/2024 | J(1) | 380,198 | A | $0 | 4,362,851 | I | See Footnotes(5) | ||
Class A Common Stock | 02/09/2024 | J(3) | 44,236 | A | $0 | 473,229 | I | See Footnotes(6) | ||
Class A Common Stock | 72 | I | See Footnotes(7) | |||||||
Class A Common Stock | 100,000 | I | See Footnotes(8) | |||||||
Class A Common Stock | 200,000 | I | See Footnotes(9) | |||||||
Class A Common Stock | 192,722 | I | See Footnotes(10)(11) | |||||||
Class A Common Stock | 111,112 | I | See Footnotes(11)(12) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 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 (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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Represents shares of the Issuer's Class A Common Stock received by the reporting person in distributions from Altos Ventures IV, L.P., Altos Ventures IV Liquidity Fund, L.P., Altos Ventures IV Reserve Fund, L.P., Altos Roblox SPV 1, LLC and Altos Roblox SPV 2, LLC. |
2. These shares are held directly by The Kim Living Trust for which Mr. Kim serves as trustee, Mr. Kim disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. |
3. Represents shares of the Issuer's Class A Common Stock received by the Reporting Person in distributions from Altos Roblox SPV 2020, LLC. |
4. These shares are held directly by Han Family Investments, LLC - Sub Fund No. 1 which Mr. Kim serves as Managing Member. Mr. Kim disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. |
5. These shares are held directly by the Nam-MacGill 2006 Family Trust for which Mr. Nam serves as trustee. Mr. Nam disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
6. These shares are held directly by Nam-MacGill Investments, LLC - Sub Fund No. 1 for which Mr. Nam serves as managing member. Mr. Nam disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
7. These shares are held directly by trusts of the minor children of Mr. Nam, for which Mr. Nam serves as co-trustee. |
8. These shares are held directly by the Shipshead Trust for which Mr. Nam serves as trustee. Mr. Nam disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. |
9. These shares are held directly by the Nam-MacGill 2020 Irrevocable Children's Trust for which Mr. Nam serves as co-trustee. |
10. These shares are held directly by Altos Hybrid 2, L.P. |
11. The general partner of Altos Hybrid 2, L.P. is Altos Hybrid 2 GP, LLC. The managing directors of Altos Hybrid 2 GP, LLC. are Anthony P. Lee, Han Kim and Hodong Nam who exercise investment and voting control over the shares. Anthony P. Lee is a director of the Issuer and files separate Section 16 reports. Mr. Kim and Mr. Nam disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein, if any. |
12. These shares are held directly by Altos Hybrid 4, L.P. |
Remarks: |
This Form 4 is the second of two Forms 4 filed by the Reporting Person relating to the same events. The Form 4 has been split into two filings in order to include all Reporting Persons. |
/s/ Han Kim | 02/13/2024 | |
/s/ Hodong Nam | 02/13/2024 | |
Anthony P. Lee, managing director of Altos Management Partners IV, LLC, managing partner of Altos Ventures IV, L.P. | 02/13/2024 | |
/s/ Anthony P. Lee, managing director of Altos Roblox Management Partners, LLC, manager of Altos Roblox SPV 2020, LLC | 02/13/2024 | |
** Signature of Reporting Person | Date | |
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. |