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