Retirement plan

ROKU, INC. 401(K) PLAN

Name: ROKU, INC. - ROKU, INC. 401(K) PLAN (2017) Form 5500
Creator: ROKU, INC.
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, ROKU, INC. 401(K) PLAN, ROKU, INC.

ROKU, INC.EIN 26-2087865Plan #001PY 2017

150 WINCHESTER CIRCLE - LOS GATOS, CA 95032408-740-5212roku.comLinkedIn1001-5000 employeescomputer software

Prospect flagsLow employer contributionCorrective distributions

How to read this page

Total assets (EOY)

$35.8M

-36.0% from 2016

Total participants

827

-21.7% from 2016

Average account balance

$58,354

-13.8% from 2016

Annual return

37.33%

-3.33 pp from 2016

Benchmarks

See 512 peers

Peer group

Industry51 - Information

Plan typeDefined contribution

Participants250-999

Cohort512 peers

Snapshot2017

Free accounts unlock saves, downloads, and 3-year history.

Analytics

Total assets (EOY)

Plan-year ending balance

$363.01M

Not enough data

1 years with asset history on file

Average account balance

Total assets / participants with a balance (line 6g)

$126K

Not enough data

1 years with per-participant data

Participants with account balance

Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.

2,879

Not enough data

1 years with headcount on file

Eligible Participants and Participation

Bars: eligible actives (line 6a). Line: derived rate = active employees with a balance / 6a.

85.7%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$52.28M

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$22K

Not enough data

1 years with per-participant contribution data

Asset flow

BOY + contributions + return - distributions = EOY

Year

Annual return

Diverging bars; negative years highlighted

+20.10%

Not enough data

1 years with return on file

Admin fee / account holder

Total admin expenses / participants with a balance (line 6g)

$24

Not enough data

1 years with admin cost on file

Asset composition

Cash / stocks / bonds / mutual funds / real estate / loans over time

Not enough data

1 years with F_SCH_H allocation on file

Free accounts unlock saves, downloads, and 3-year history.

Service providers

Top 1 by compensation

Provider	Service type	Compensation
FIDELITY INVESTMENTS INSTITUTIONAL3+ years Service code 37 · EIN 04-2647786	Loan Processing	$1,740

Plan features & details

Pension benefit codes2E2F2G2J2T3D

Plan features

2E
Profit-sharing
Profit-sharing plan.
2F
ERISA section 404(c) plan
This plan or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1 (shifting investment responsibility to participants).
2G
Total participant-directed account plan
Participants have the opportunity to direct the investment of all of the assets allocated to their individual accounts regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J
Code section 401(k) feature
Cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan under which employees may elect to defer part of their compensation or receive these amounts in cash.
2T
Default investment account
Total or partial participant-directed account plan where plan uses a default investment account for participants who fail to direct assets in their account.
3D
Pre-approved pension plan
A master prototype or volume submitter plan that is the subject of a favorable opinion or advisory letter from the IRS.

Opportunity flags

2 tripped

OpportunityLow employer contribution
Employer contribution per participant is in the bottom quintile of the peer cohort.
ComplianceCorrective distributions
Plan reported corrective distributions (failed ADP/ACP testing).

Expense breakdown

Schedule H Part II

Admin total

$2K

$2 / participant

Other / not subdivided$2K100.0%

% of EOY assets

0.005%

all-in expense ratio

Categories reported

0 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.

Auditor firm: MOSS ADAMS LLP
Auditor EIN: 910189318
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$58,354

$65,592-11.0%

$90,161-35.3%

$69,634-16.2%

Participation rate

71.5%

77.6%-6.1pp

76.9%-5.3pp

70.7%+0.9pp

Annual return

37.33%

57.10%-19.8pp

34.89%+2.4pp

27572.26%-27534.9pp

Employer contribution / active EE

$2,193-100.0%

$3,318-100.0%

$2,032-100.0%

Participant deferral / active EE

$10,334

$5,257+96.6%

$5,287+95.5%

$3,224+220.6%

Admin fee / account holder

$86-96.7%

$5,943-100.0%

$110-97.4%

Provider

Service type

Compensation

FIDELITY INVESTMENTS INSTITUTIONAL3+ years

Service code 37 · EIN 04-2647786

Loan Processing

$1,740

ROKU, INC. 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

ROKU, INC. 401(K) PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion