SEC Form 4 · accession 0001472343-16-000236
Roka BioScience, Inc. · ROKA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Beth Duseau Mary
Officer — SVP, Chief Commercial Officer
Period of report
Nov 10, 2016
Accepted (ET)
Nov 10, 2016 · 4:15 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, $0.001 par value per share | Nov 10, 2016 | C | 1,429 | $7.00 | A | 1,429 | D |
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 StockF1,F2 | — | Nov 10, 2016 | C | 10 | D | — | — | Common stock, par value $0.001 per share | 1,429 | 0 | D |
Explanation of responses
- F1Reporting person's Series A Convertible Preferred Stock, par value $0.001 per share (the "Series A Preferred Shares") automatically converted into shares of the Company's common stock, par value $0.001 (the "Common Shares") at a conversion price of $7.00 per share resulting in his acquisition of 1,429 Common Shares. Common Shares disclosed reflect the October 11, 2016, 10 for 1 reverse stock split of the Company's Common Shares. The Series A Preferred Shares were adjusted proportionately and consequently, each share of Preferred Stock became convertible into approximately 143 shares of common stock.
- F2The Series A Preferred Shares automatically converted, upon receipt of Company shareholder approval and had no expiration date.