0001472343-16-000197.txt : 20160923
0001472343-16-000197.hdr.sgml : 20160923
20160923163119
ACCESSION NUMBER: 0001472343-16-000197
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: Boesgaard Lars
CENTRAL INDEX KEY: 0001403893
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36538
FILM NUMBER: 161900179
MAIL ADDRESS:
STREET 1: C/O ROKA BIOSCIENCE, INC.
STREET 2: 20 INDEPENDENCE BOULEVARD
CITY: WARREN
STATE: NJ
ZIP: 07059
4
1
wf-form4_147466266692520.xml
FORM 4
X0306
4
2016-09-21
0
0001472343
Roka BioScience, Inc.
ROKA
0001403893
Boesgaard Lars
20 INDEPENDENCE BLVD
WARREN
NJ
07059
0
1
0
0
Vice President, CFO
Series A Convertible Preferred Stock
0.7
2016-09-21
4
P
0
25
A
Common stock, par value $0.001 per share
35714.0
25
D
Warrant (right to buy)
0.7
2016-09-21
4
P
0
35714
A
2016-09-21
2016-09-21
Common stock, par value $0.001 per share
35714.0
35714
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 25 Series A Preferred Shares and five-year warrants to purchase 35,714 Common Shares at a purchase price of $1,000 per share pursuant to a private offering of the Company for a total of $25,000.
/s/ Corey Swanson, attorney-in-fact
2016-09-23