Filing Details
- Accession Number:
- 0001181431-14-027153
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-22 17:08:25
- Reporting Period:
- 2014-07-22
- Filing Date:
- 2014-07-22
- Accepted Time:
- 2014-07-22 17:08:25
- 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 |
---|---|---|---|---|---|---|---|
1479386 | Ravi Viswanathan | 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 | 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
- 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.