0001181431-14-027158.txt : 20140722 0001181431-14-027158.hdr.sgml : 20140722 20140722171016 ACCESSION NUMBER: 0001181431-14-027158 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140722 FILED AS OF DATE: 20140722 DATE AS OF CHANGE: 20140722 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: 1231 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: DRANT RYAN D CENTRAL INDEX KEY: 0001302106 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36538 FILM NUMBER: 14987180 MAIL ADDRESS: STREET 1: 1119 ST PAUL STREET CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 rrd413340.xml X0306 4 2014-07-22 0 0001472343 Roka BioScience, Inc. ROKA 0001302106 DRANT RYAN D 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM MD 21093 0 0 1 0 Common Stock 2014-07-22 4 C 0 1119565 A 1124299 I See Note 1 Common Stock 2014-07-22 4 C 0 365056 A 1489355 I See Note 1 Common Stock 2014-07-22 4 C 0 801741 A 2291096 I See Note 1 Common Stock 2014-07-22 4 C 0 542381 A 2833477 I See Note 1 Common Stock 2014-07-22 4 P 0 383333 12 A 3216810 I See Note 1 Series B Preferred Stock 2014-07-22 4 C 0 12360000 D 2009-09-10 Common Stock 1119565 0 I See Note 1 Series C Preferred Stock 2014-07-22 4 C 0 4030224 D 2011-04-29 Common Stock 365056 0 I See Note 1 Series D Preferred Stock 2014-07-22 4 C 0 8555784 D 2011-12-19 Common Stock 801741 0 I See Note 1 Series E Preferred Stock 2014-07-22 4 C 0 5987892 D 2013-06-13 Common Stock 542381 0 I See Note 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. 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. 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. 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. 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. /s/ Sasha Keough, attorney-in-fact 2014-07-22