Roka Bioscience, Inc.
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(Name of Issuer)
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Common Stock, par value $0.001 per share
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(Title of Class of Securities)
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775431109
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(CUSIP Number)
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July 10, 2015
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(Date of Event which Requires Filing of this Statement)
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Check the appropriate box to designate the rule pursuant to which this Schedule is filed.
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o
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Rule 13d-1(b)
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o
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Rule 13d-1(c)
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x
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Rule 13d-1(d)
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CUSIP No. 775431109
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SCHEDULE 13G |
Page 2 of 12
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1
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NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aisling Capital III, LP
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) o
(b) x
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
876,368
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6
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SHARED VOTING POWER
0
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7
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SOLE DISPOSITIVE POWER
876,368
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8
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SHARED DISPOSITIVE POWER
0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
876,368 (See Item 4)
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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o |
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.9%
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12
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TYPE OF REPORTING PERSON
PN
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CUSIP No. 775431109
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SCHEDULE 13G |
Page 3 of 12
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1
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NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aisling Capital Partners III, LP
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) o
(b) x
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
876,368
|
6
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SHARED VOTING POWER
0
|
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7
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SOLE DISPOSITIVE POWER
876,368
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|
8
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SHARED DISPOSITIVE POWER
0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
876,368 (See Item 4)
|
|
10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o |
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.9%
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12
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TYPE OF REPORTING PERSON
PN
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CUSIP No. 775431109
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SCHEDULE 13G |
Page 4 of 12
|
1
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NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aisling Capital Partners III LLC
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) x
|
3
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SEC USE ONLY
|
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
876,368
|
6
|
SHARED VOTING POWER
0
|
|
7
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SOLE DISPOSITIVE POWER
876,368
|
|
8
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SHARED DISPOSITIVE POWER
0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
876,368 (See Item 4)
|
|
10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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o |
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.9%
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12
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TYPE OF REPORTING PERSON
OO
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CUSIP No. 775431109
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SCHEDULE 13G |
Page 5 of 12
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1
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NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Steve Elms
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) o
(b) x
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
6
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SHARED VOTING POWER
876,368
|
|
7
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SOLE DISPOSITIVE POWER
0
|
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8
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SHARED DISPOSITIVE POWER
876,368
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
876,368 (See Item 4)
|
|
10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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o |
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.9%
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12
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TYPE OF REPORTING PERSON
IN
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CUSIP No. 775431109
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SCHEDULE 13G |
Page 6 of 12
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1
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NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Dennis Purcell
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) o
(b) x
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
6
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SHARED VOTING POWER
876,368
|
|
7
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SOLE DISPOSITIVE POWER
0
|
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8
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SHARED DISPOSITIVE POWER
876,368
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
876,368 (See Item 4)
|
|
10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o |
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.9%
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12
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TYPE OF REPORTING PERSON
IN
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CUSIP No. 775431109
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SCHEDULE 13G |
Page 7 of 12
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1
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NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Andrew Schiff
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) o
(b) x
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
6
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SHARED VOTING POWER
876,368
|
|
7
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SOLE DISPOSITIVE POWER
0
|
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8
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SHARED DISPOSITIVE POWER
876,368
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
876,368 (See Item 4)
|
|
10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
o |
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.9%
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12
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TYPE OF REPORTING PERSON
IN
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CUSIP No. 775431109
|
SCHEDULE 13G |
Page 8 of 12
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ITEM 1.
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(a)
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Name of Issuer:
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Roka Bioscience, Inc.
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(b)
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Address of Issuer’s Principal Executive Offices:
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20 Independence Boulevard, Warren, New Jersey, 07059
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ITEM 2.
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(a)
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Name of Person Filing:
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This Schedule 13G (this “Statement”) is being filed by the following persons (collectively, the “Reporting Persons”):
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(i)
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Aisling Capital III, LP, a Delaware limited partnership (“Aisling”);
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(ii)
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Aisling Capital Partners III, LP, a Delaware limited partnership (“Aisling Partners”), a general partner of Aisling;
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(iii)
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Aisling Capital Partners III LLC, a Delaware limited liability company (“Aisling Partners GP”), and a general partner of Aisling Partners;
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(iv)
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Mr. Steve Elms, a managing member of Aisling Partners GP;
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(v)
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Mr. Dennis Purcell, a managing member of Aisling Partners GP; and
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(vi)
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Mr. Andrew Schiff, a managing member of Aisling Partners GP.
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(b)
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Address of Principal Business Office, or if None, Residence:
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The address of the principal business offices of each of the Reporting Persons is 888 Seventh Avenue, 30th Floor, New York, New York 10106.
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(c)
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Citizenship:
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(i)
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Aisling — a Delaware limited partnership
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(ii)
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Aisling Partners — a Delaware limited partnership
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(iii)
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Aisling Partners GP — a Delaware limited liability company
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(iv)
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Mr. Elms — United States
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(v)
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Mr. Purcell — United States
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(vi)
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Mr. Schiff — United States
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(d)
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Title of Class of Securities:
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Common Stock, par value $0.001 per share (the “Common Stock”).
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(e)
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CUSIP Number:
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775431109
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ITEM 3.
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IF THIS STATEMENT IS FILED PURSUANT TO §240.13D-1(B) OR 240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A:
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(a)
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[__] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o)
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(b)
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[__] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c)
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(c)
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[__] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c)
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(d)
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[__] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8)
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(e)
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[__] An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E)
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(f)
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[__] An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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CUSIP No. 775431109
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SCHEDULE 13G |
Page 9 of 12
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(g)
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[__] A Parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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[__] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813)
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(i)
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[__] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3)
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(j)
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[__] A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);
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(k)
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[__] Group, in accordance with §240.13d-1(b)(1)(ii)(J).
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ITEM 4.
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OWNERSHIP
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(a)
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Amount beneficially owned:
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Each of the Reporting Persons may be deemed to beneficially own an aggregate of 876,368 shares of Common Stock.
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(b)
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Percent of class:
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Based on the calculations made in accordance with Rule 13d-3(d), each of the Reporting Persons may be deemed to beneficially own approximately 4.9% of the outstanding Common Stock.
All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 18,046,064 shares of Common Stock issued and outstanding, as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission by the Issuer on May 8, 2015.
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(c)
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Number of shares as to which such person has:
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(i), (iii)
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Sole power to vote or to direct the vote/Sole power to dispose of or to direct the disposition of:
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Each of Aisling, Aisling Partners and Aisling Partners GP may be deemed to have sole power to direct the voting and disposition of the 876,368 Common Stock beneficially owned by Aisling.
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(ii), (iv)
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Shared power to vote or to direct the vote/Shared power to dispose of or to direct the disposition of:
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By virtue of the relationships between and among the Reporting Persons as described in Item 2, each of Mr. Elms, Mr. Purcell and Mr. Schiff may be deemed to share the power to direct the voting and the disposition of the 876,368 Common Stock beneficially owned by Aisling.
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ITEM 5.
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OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☒.
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ITEM 6.
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OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
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The partners of Aisling have the right to participate in the receipt of dividends from, or proceeds from the sale of, the Common Stock held for the account of Aisling in accordance with their ownership interests in Aisling.
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CUSIP No. 775431109
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SCHEDULE 13G |
Page 10 of 12
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ITEM 7.
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IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
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Not Applicable.
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ITEM 8.
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IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
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Not Applicable.
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ITEM 9.
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NOTICE OF DISSOLUTION OF GROUP
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Not Applicable.
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ITEM 10.
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CERTIFICATIONS.
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Not Applicable.
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CUSIP No. 775431109
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SCHEDULE 13G |
Page 11 of 12
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AISLING CAPITAL III, LP
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By: Aisling Capital Partners III, LP,
As its General Partner
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By: Aisling Capital Partners III LLC,
As its General Partner
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By:
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/s/ Dennis Purcell
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Name: Dennis Purcell
Title: Managing Member
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AISLING CAPITAL PARTNERS III, LP
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By: Aisling Capital Partners III LLC,
As its General Partner
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By:
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/s/ Dennis Purcell
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Name: Dennis Purcell
Title: Managing Member
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AISLING CAPITAL PARTNERS III LLC
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By:
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/s/ Dennis Purcell
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Name: Dennis Purcell
Title: Managing Member
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STEVE ELMS
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By:
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/s/ Steve Elms
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DENNIS PURCELL
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By:
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/s/ Dennis Purcell
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ANDREW SCHIFF
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By:
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/s/ Andrew Schiff
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CUSIP No. 775431109
|
SCHEDULE 13G |
Page 12 of 12
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Exhibit 1.
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Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended (previously filed).
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