Filing Details

Accession Number:
0001181431-14-027160
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-22 17:10:54
Reporting Period:
2014-07-22
Filing Date:
2014-07-22
Accepted Time:
2014-07-22 17:10:54
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
1219855 James M Barrett 1954 Greenspring Drive
Suite 600
Timonium MD 21093
Yes 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 Indirect See Note 1
Common Stock Acquisiton 2014-07-22 365,056 $0.00 1,489,355 No 4 C Indirect See Note 1
Common Stock Acquisiton 2014-07-22 801,741 $0.00 2,291,096 No 4 C Indirect See Note 1
Common Stock Acquisiton 2014-07-22 542,381 $0.00 2,833,477 No 4 C Indirect See Note 1
Common Stock Acquisiton 2014-07-22 383,333 $12.00 3,216,810 No 4 P Indirect See Note 1
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Note 1
No 4 C Indirect See Note 1
No 4 C Indirect See Note 1
No 4 C Indirect See Note 1
No 4 P Indirect See Note 1
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 Indirect
0 2011-04-29 No 4 C Indirect
0 2011-12-19 No 4 C Indirect
0 2013-06-13 No 4 C Indirect
Footnotes
  1. The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims 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 shares in which the Reporting Person has 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.