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