Filing Details

Accession Number:
0001181431-14-027151
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-22 17:07:42
Reporting Period:
2014-07-22
Filing Date:
2014-07-22
Accepted Time:
2014-07-22 17:07:42
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1472343 Roka Bioscience Inc. ROKA Laboratory Analytical Instruments (3826) 270881542
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1452907 New Enterprise Associates 13 Lp 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1460751 Nea 13 Gp, Ltd 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
1460752 Nea Partners 13, Limited Partnership 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-07-22 1,119,565 $0.00 1,124,299 No 4 C Direct
Common Stock Acquisiton 2014-07-22 365,056 $0.00 1,489,355 No 4 C Direct
Common Stock Acquisiton 2014-07-22 801,741 $0.00 2,291,096 No 4 C Direct
Common Stock Acquisiton 2014-07-22 542,381 $0.00 2,833,477 No 4 C Direct
Common Stock Acquisiton 2014-07-22 383,333 $12.00 3,216,810 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Direct
No 4 C Direct
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Preferred Stock Disposition 2014-07-22 12,360,000 $0.00 1,119,565 $0.00
Common Stock Series C Preferred Stock Disposition 2014-07-22 4,030,224 $0.00 365,056 $0.00
Common Stock Series D Preferred Stock Disposition 2014-07-22 8,555,784 $0.00 801,741 $0.00
Common Stock Series E Preferred Stock Disposition 2014-07-22 5,987,892 $0.00 542,381 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2009-09-10 No 4 C Direct
0 2011-04-29 No 4 C Direct
0 2011-12-19 No 4 C Direct
0 2013-06-13 No 4 C Direct
Footnotes
  1. The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Ryan D. Drant, Patrick J. Kerins, Krishna "Kittu" Kolluri, David M. Mott, Scott D. Sandell, Ravi Viswanathan and Harry R. Weller. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest.
  2. The shares of Series B Preferred Stock have no expiration date and automatically converted upon the consummation of the Issuer's initial public offering at a conversion ratio of 1 share of Series B Preferred Stock to 0.0906 shares of common stock, for no additional consideration. Such conversion is reflected in the amount of common stock underlying the security.
  3. The shares of Series C Preferred Stock have no expiration date and automatically converted upon the consummation of the Issuer's initial public offering at a conversion ratio of 1 share of Series C Preferred Stock to 0.0906 shares of common stock, for no additional consideration. Such conversion is reflected in the amount of common stock underlying the security.
  4. The shares of Series D Preferred Stock have no expiration date and automatically converted upon the consummation of the Issuer's initial public offering at a conversion ratio of 1 share of Series D Preferred Stock to 0.0937 shares of common stock, for no additional consideration. Such conversion is reflected in the amount of common stock underlying the security.
  5. The shares of Series E Preferred Stock have no expiration date and automatically converted upon the consummation of the Issuer's initial public offering at a conversion ratio of 1 share of Series E Preferred Stock to 0.0906 shares of common stock, for no additional consideration. Such conversion is reflected in the amount of common stock underlying the security.