0001472343-16-000196.txt : 20160923
0001472343-16-000196.hdr.sgml : 20160923
20160923163105
ACCESSION NUMBER: 0001472343-16-000196
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160921
FILED AS OF DATE: 20160923
DATE AS OF CHANGE: 20160923
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Roka BioScience, Inc.
CENTRAL INDEX KEY: 0001472343
STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826]
IRS NUMBER: 270881542
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1216
BUSINESS ADDRESS:
STREET 1: 20 INDEPENDENCE BOULEVARD
CITY: WARREN
STATE: NJ
ZIP: 07059
BUSINESS PHONE: 908-605-4700
MAIL ADDRESS:
STREET 1: 20 INDEPENDENCE BOULEVARD
CITY: WARREN
STATE: NJ
ZIP: 07059
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VALERIANI NICHOLAS J
CENTRAL INDEX KEY: 0001263149
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36538
FILM NUMBER: 161900176
MAIL ADDRESS:
STREET 1: C/O EDWARDS LIFESCIENCES CORPORATION
STREET 2: ONE EDWARDS WAY
CITY: IRVINE
STATE: CA
ZIP: 92614
4
1
wf-form4_147466265192063.xml
FORM 4
X0306
4
2016-09-21
0
0001472343
Roka BioScience, Inc.
ROKA
0001263149
VALERIANI NICHOLAS J
20 INDEPENDENCE BOULEVARD
WARREN
NJ
07059
1
0
0
0
Series A Convertible Preferred Stock
0.7
2016-09-21
4
P
0
50
A
Common stock, par value $0.001 per share
71428.0
50
D
Warrant (right to buy)
0.7
2016-09-21
4
P
0
71429
A
2016-09-21
2016-09-21
Common stock, par value $0.001 per share
71429.0
71429
D
Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, reporting person's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into shares of the Company's common stock, par value $0.001 (the "Common Shares") at a conversion price of $0.70 per share. The Series A Preferred Shares have no expiration date.
The reporting person purchased 50 Series A Preferred Shares and five-year warrants to purchase 71,429 Common Shares at a purchase price of $1,000 per share pursuant to a private offering of the Company for a total of $50,000.
/s/ Corey Swanson, attorney-in-fact
2016-09-23