SEC Form 4 · accession 0001472343-15-000012
Roka BioScience, Inc. · ROKA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter M. Narajowski
Officer — Senior VP & General Manager
Period of report
Jan 2, 2015
Accepted (ET)
Jan 6, 2015 · 4:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001472343
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock, par value $0.001 per shareF1 | Jan 2, 2015 | A | 90,000 | $0.00 | A | 154,309 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $4.36 | Jan 2, 2015 | A | 55,000 | A | — | Jan 1, 2025 | Common Stock, $0.001 par value per share | 55,000 | 55,000 | D |
Explanation of responses
- F1Restricted stock, which vests 1/3 on January 1, 2016, 1/3 on January 1, 2017 and 1/3 on January 1, 2018.
- F2Such stock options vest 25% on the first anniversary and in 1/36th increments on a monthly basis beginning one month after the first anniversary. The stock options have a term of ten years.