13D Filing: OrbiMed Advisors and Roka Bioscience Inc. (ROKA)

CUSIP No. 775431109

1

NAME OF REPORTING PERSON

OrbiMed Advisors LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ☐

(b) ☐

3

SEC USE ONLY

4

SOURCE OF FUNDS

AF (See Item 3)

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)

☐

6

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF SHARES

BENEFICIALLY OWNED

BY EACH REPORTING

PERSON WITH

7

SOLE VOTING POWER

0

8

SHARED VOTING POWER

773,045*

9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

773,045*

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

773,045*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)

☐

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

13.86%†

14

TYPE OF REPORTING PERSON (See Instructions)

IA

*

Includes 571,428 shares of the Issuer’s Common Stock (the “Shares”) underlying warrants (the “Warrants”).

†

This percentage is calculated based on 5,007,742 outstanding Shares of the Issuer, as set forth in the Issuer’s Form 10-Q/A, filed with the Securities and Exchange Commission (the “SEC”) on September 28, 2017, and includes 571,428 Shares subject to currently exercisable Warrants.