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Filing Details

Accession Number:: 0001181431-14-027157
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-07-22 17:09:58
Reporting Period:: 2014-07-22

Filing Date:: 2014-07-22
Accepted Time:: 2014-07-22 17:09:58
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
1235112	J Patrick Kerins	1954 Greenspring Drive Suite 600 Timonium MD 21093		No	No	Yes	No

Reported Non-Derivative Transactions

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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

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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

Exercise Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2009-09-10	No	4	C	Indirect
2011-04-29	No	4	C	Indirect
2011-12-19	No	4	C	Indirect
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.