SEC Form 4 · accession 0001472343-16-000239

Roka BioScience, Inc. · ROKA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Nov 10, 2016

Accepted (ET)

Nov 10, 2016 · 4:16 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	7,143	$7.00	A	7,143	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Convertible Preferred Stock^F1,F2	—	Nov 10, 2016	C	50	D	—	—	Common stock, par value $0.001 per share	7,143	0	D

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 7,143 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.