SEC Form 4 · accession 0001472343-16-000197
Roka BioScience, Inc. · ROKA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lars Boesgaard
Officer — Vice President, CFO
Period of report
Sep 21, 2016
Accepted (ET)
Sep 23, 2016 · 4:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001472343
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF2,F1 | $0.70 | Sep 21, 2016 | P | 25 | A | — | — | Common stock, par value $0.001 per share | 35,714 | 25 | D |
| Warrant (right to buy)F2 | $0.70 | Sep 21, 2016 | P | 35,714 | A | Sep 21, 2016 | Sep 21, 2016 | Common stock, par value $0.001 per share | 35,714 | 35,714 | D |
Explanation of responses
- F1Pursuant to the terms of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock and the lock up agreement dated September 21, 2016, reporting person's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converts, upon receipt by the Company of shareholder approval, into shares of the Company's common stock, par value $0.001 (the "Common Shares") at a conversion price of $0.70 per share. The Series A Preferred Shares have no expiration date.
- F2The reporting person purchased 25 Series A Preferred Shares and five-year warrants to purchase 35,714 Common Shares at a purchase price of $1,000 per share pursuant to a private offering of the Company for a total of $25,000.