Roblox Corporation
10/27/2021 | Press release | Distributed by Public on 10/27/2021 15:51
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 Lee | 2021-10-26 |
| **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) | The shares held by the Fallen Leaf Revocable Trust as previously reported in the Reporting Person's prior Section 16 reports, inadvertently included 55,499 shares that are held by Fallen Leaf LLC - Sub Fund No. 2. The holdings reported in this Form 4 properly reflect the indirect ownership of the shares of the Issuer beneficially owned by the Reporting Person. |
| (2) | These shares are held directly by the Fallen Leaf Revocable Trust for which the Reporting Person serves as trustee. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
| (3) | These shares are held directly by the Fallen Leaf LLC - Sub Fund No. 1 for which the Reporting Person serves as Managing Member. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
| (4) | These shares are held directly by the Fallen Leaf LLC - Sub Fund No. 2 for which the Reporting Person serves as Managing Member. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
| (5) | These shares are held directly by Altos Hybrid 2, LP. |
| (6) | The Managing Directors or Managing Members of the General Partners and the Managers of the Altos Funds are Anthony P. Lee, Han Kim and Hodong Nam. The Reporting Person is a managing director or managing member of the general partners and managers of the Altos Funds and exercises shared investment and voting control over the shares held by 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. |
| (7) | The general partner of Altos Hybrid 2, L.P. is Altos Hybrid 2GP, 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 and 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 (collectively, the General Partners). |
| (8) | These shares are held directly by Altos Roblox SPV 1, LLC. |
| (9) | The manager of Altos Roblox SPV 1, LLC and Altos Roblox SPV 2, LLC is Altos Roblox Management Partners IV, LLC; the manager of Altos Roblox SPV 2020, LLC is Altos Roblox 2020 Management Partners, LLC; the manager of Altos Hybrid 4 GS, LLC and Altos Hybrid HG, LLC is Altos Hybrid 4 GP, LLC; the manager of Altos Hybrid 2 V, LLC and Altos Hybrid 2 P-FIO, LLC is Altos Hybrid 2 GP, LLC; the manager of Altos Hybrid 3 B, LLC, Altos Hybrid 3M, LLC, and Altos Hybrid 3W, LLC is Altos Hybrid 3 GP, LLC; the manager of Altos Hybrid UP, LLC and Altos Hybrid CC, LLC is Altos Hybrid 4 GP, LLC (collectively, the Managers). |
| (10) | These shares are held directly by Altos Roblox SPV 2, LLC. |
| (11) | These shares are held directly by Altos Roblox SPV 2020, LLC. |
| (12) | These shares are held directly by Altos Ventures IV, L.P. |
| (13) | These shares are held directly by Altos Ventures IV Liquidity Reserve Fund, L.P. |
| (14) | These shares are held directly by Altos Ventures IV Reserve Fund, L.P. |
| (15) | These shares are held directly by Altos Hybrid 4, L.P. |