Form D · Biotechnology
Roka BioScience, Inc.
Warren, NJ · CIK 0001472343
Offering snapshot reported Sep 30, 2016 · SEC filing
- Reported sold
- $22.5M Offering amount: $22.5M
- Investors reported
- 32 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Sep 21, 2016 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Sep 30, 2016 | Initial | $22,500,000 | No comparison | 32 | SEC filing |
| Dec 5, 2013 | Initial | $16,996,657 | No comparison | 5 | SEC filing |
| Jun 27, 2013 | Initial | $24,999,999 | No comparison | 5 | SEC filing |
| Dec 28, 2011 | Amendment | $27,500,000 | -$1,938,587vs Sep 23, 2009 | 5 | SEC filing |
| May 17, 2011 | Amendment | $20,000,001 | -$9,438,586vs Sep 23, 2009 | 5 | SEC filing |
| Sep 23, 2009 | Initial | $29,438,587 | No comparison | 6 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Other
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $950K
- Finders' fees
- $0
- Form D file number
- 021-271657
Warrants and Preferred Stock convertible into Common Stock
Excludes warrants to purchase up to 2,366,858 shares of common stock.
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Roth Capital Partners, LLC | 15407 |
Source: Form D, filed Sep 30, 2016. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Jim Barret, Ph D | Director |
| Josh Bilenker, Md | Director |
| Lars Boesgaard | Executive |
| Fred Cohen | Director |
| Michael P. Doyle | Director |
| David Mc Girr | Director |
| Jonathan Silverstein | Director |
| Steven Sobieski | Executive |
| Paul G. Thomas | Director, Executive |
| Nicholas Valeriani | Director |
| Michael J. Watts | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
20 Independence Boulevard
Warren, NJ, 07059
Warren, NJ, 07059