Form D

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
ROKA BIOSCIENCE, INC.
Jurisdiction of Incorporation/Organization
DE
Year of Incorporation/Organization
2009

Previous Name(s)

Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

20 INDEPENDENCE BOULEVARD
4TH FLOOR
WARREN, NJ 07059
Phone Number: subscription required

Item 3. Related Persons

Name
STEVEN SOBIESKI
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF FINANCIAL OFFICER AND TREASURER

Item 3. Related Persons

Name
PAUL THOMAS
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
PRESIDENT, CHIEF EXECUTIVE OFFICER AND SECRETARY

Item 3. Related Persons

Name
JIM BARRET, PHD
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JOSH BILENKER, MD
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JONATHAN SILVERSTEIN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
FRED COHEN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
MICHAEL P. DOYLE
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 4. Industry Group

BIOTECHNOLOGY

Item 5. Issuer Size

Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
DECLINE TO DISCLOSE

Item 6. Federal Exemptions and Exclusions Claimed

Item 7. Type of Filing

New Notice
Date of First Sale in this Offering:
11/20/2013

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
No

Item 9. Type(s) of Securities Offered

  • Equity
  • Other: SERIES E PREFERRED STOCK CONVERTIBLE INTO SERIES A COMMON STOCK

Item 10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response

Item 11. Minimum Investment

Minimum Investment accepted from any outside investor
0

Item 13. Offering and Sales Amounts

Total Offering Amount
16996657
Total Amount Sold
16996657
Total Remaining to be Sold
0
Clarification of Response

Item 14. Investors

Securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
5

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response

Item 16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers,directors or promoters in response to Item 3 above.
0.0 Is an estimate
Clarification of Response
A PORTION OF THE PROCEEDS MAY BE USED FOR GENERAL CORPORATE PURPOSES. SALARIES AND/OR DIRECTOR FEES MAY BE PAID TO CERTAIN RELATED PERSONS IN ITEM 3. THE AMOUNT OF SUCH FEES CANNOT BE DETERMINED AS THIS TIME.

Signature and Submission

Issuer Name
ROKA BIOSCIENCE, INC.
Issuer Signature
/S/ PAUL THOMAS
Signer Name
PAUL THOMAS
Signer Title
PRESIDENT, CHIEF EXECUTIVE OFFICER AND SECRETARY
Signature Date
12/04/2013

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