FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

THOMAS PAUL
2. Issuer Name and Ticker or Trading Symbol

Roka BioScience, Inc. [ ROKA ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
President and CEO
(Last)          (First)          (Middle)

20 INDEPENDENCE BOULEVARD
3. Date of Earliest Transaction (MM/DD/YYYY)

11/10/2016
(Street)

WARREN, NJ 07059
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common stock, par value $0.001 per share   11/10/2016     C    7143   A $7   85494   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Convertible Preferred Stock     (1) 11/10/2016     C         50      (2)   (2) Common stock, par value $0.001 per share   7143.0   $0   0   D    

Explanation of Responses:
( 1)  Reporting 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.
( 2)  The Series A Preferred Shares automatically converted, upon receipt of Company shareholder approval and had no expiration date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
THOMAS PAUL
20 INDEPENDENCE BOULEVARD
WARREN, NJ 07059
X
President and CEO

Signatures
/s/ Corey Swanson, attorney in fact 11/10/2016
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
ROKA BIOSCIENCE, INC. (NASDAQ:ROKA)
Historical Stock Chart
From Mar 2024 to Apr 2024 Click Here for more ROKA BIOSCIENCE, INC. Charts.
ROKA BIOSCIENCE, INC. (NASDAQ:ROKA)
Historical Stock Chart
From Apr 2023 to Apr 2024 Click Here for more ROKA BIOSCIENCE, INC. Charts.