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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Sorrento Tech Com USD0.001 (MM) | NASDAQ:ROKA | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.65 | 0.64 | 0.67 | 0 | 01:00:00 |
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Delaware
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27-0881542
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(State or Other Jurisdiction of
Incorporation or Organization)
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(I.R.S. Employer
Identification No.)
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Large accelerated filer
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Accelerated filer
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Non-accelerated filer
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(Do not check if a smaller reporting company)
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Smaller reporting company
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ý
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Title of Securities
to be Registered
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Amount
to be
Registered
(1)
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Proposed
Maximum
Offering Price
per Share
(2)
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Proposed
Maximum
Aggregate
Offering Price(2)
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Amount of
Registration Fee(2)
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Common Stock, $0.001 par value per share
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150,081
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$4.70
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$705,381
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$81.75
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(1)
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Covers
150,081
shares of common stock issuable under the Roka Bioscience, Inc. 2014 Equity Incentive Plan (the “2014 Plan”), and, pursuant to Rule 416(c) under the Securities Act of 1933, as amended, an indeterminable number of shares of common stock issuable under the 2014 Plan, as these amounts may be adjusted as a result of stock splits, stock dividends, antidilution provisions, and similar transactions.
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(2)
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Pursuant to Rule 457(c) and Rule 457(h) under the Securities Act of 1933, as amended, the proposed maximum offering price per share and the proposed maximum aggregate offering price are estimated for the purpose of calculating the amount of the registration fee and are based on the average of the high and low sales price on the NASDAQ Global Market on January 17, 2017.
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Item 3.
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Incorporation of Documents by Reference.
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The Company’s Annual Report on Form 10-K for the fiscal year ended December 31, 2015, filed with the SEC on March 9, 2016;
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•
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The Company’s Quarterly Reports on Form 10-Q filed with the SEC on May 6, 2016, August 5, 2016 and November 8, 2016;
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The Company’s Current Reports on Form 8-K, filed with the SEC on February 10, 2016, March 4, 2016, May 4, 2016, as amended, June 27, 2016, August 5, 2016, August 26, 2016, September 16, 2016, September 22, 2016, October 11, 2016, November 1, 2016, November 7, 2016, November 10, 2016 and January 17, 2017 (other than any portions thereof deemed furnished and not filed); and
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The description of the Company’s common stock contained in its Registration Statement on Form 8-A filed on July 11, 2014 pursuant to Section 12(b) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), including any amendment or report updating such description.
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Item 8.
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Exhibits.
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ROKA BIOSCIENCE, INC.
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By:
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/s/ Mary Duseau
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Mary Duseau
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President and Chief Executive Officer
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Signature
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Title
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Date
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/s/ Mary Duseau
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President, Chief Executive Officer and Director (
Principal Executive Officer
)
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January 18, 2017
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Mary Duseau
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/s/ Lars Boesgaard
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Vice President and Chief Financial Officer (
Principal Financial and Accounting Officer
)
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January 18, 2017
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Lars Boesgaard
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/s/ James Barrett, Ph.D.
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Director
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January 18, 2017
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M. James Barrett, Ph.D.
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/s/ Fred E. Cohen, Ph.D., M.D.
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Director
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January 18, 2017
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Fred E. Cohen, Ph.D., M.D.
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/s/ Michael P. Doyle, Ph.D
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Director
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January 18, 2017
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Michael P. Doyle, Ph.D
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/s/ David W. J. McGirr
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Director
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January 18, 2017
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David W. J. McGirr
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/s/ Paul G. Thomas
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Director
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January 18, 2017
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Paul G. Thomas
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/s/ Nicholas J. Valeriani
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Director
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January 18, 2017
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Nicholas J. Valeriani
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Exhibit
Number
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Description of Exhibit
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4.1
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Seventh Amended and Restated Certificate of Incorporation of Roka Bioscience, Inc. (incorporated herein by reference to Exhibit 3.3 of the Registration Statement on Form S-1/A (File No. 333-196135) filed by the registrant).
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4.2
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Certificate of Amendment to the Company’s Seventh Amended and Restated Certificate of Incorporation, dated October 11, 2016 (incorporated herein by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed by the registrant on October 11, 2016).
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4.2
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Amended and Restated By-Laws of Roka Bioscience, Inc. (incorporated herein by reference to Exhibit 3.5 of the Registration Statement on Form S-1/A (File No. 333-196135) filed by the registrant).
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4.3
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Form of Stock Certificate of Roka Bioscience, Inc. (incorporated herein by reference to Exhibit 4.1 of the Registration Statement on Form S-1/A (File No. 333-196135) filed by the registrant).
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5.1
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Opinion of Lowenstein Sandler LLP.
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23.1
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Consent of PricewaterhouseCoopers LLP.
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23.2
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Consent of Lowenstein Sandler LLP (filed as part of Exhibit 5.1).
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24.1
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Power of Attorney (included on the signature page to this registration statement on Form S-8)
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99.1
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Roka Bioscience, Inc. 2014 Equity Incentive Plan (incorporated herein by reference to Exhibit 10.4 of the Registration Statement on Form S-1/A (File No. 333-196135) filed by the registrant).
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1 Year ROKA BIOSCIENCE, INC. Chart |
1 Month ROKA BIOSCIENCE, INC. Chart |
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