Initial Statement of Beneficial Ownership (3)
15 3월 2018 - 4:09AM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
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
*
SABBY MANAGEMENT, LLC
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/12/2018
|
3. Issuer Name
and
Ticker or Trading Symbol
Rosetta Genomics Ltd. [ROSG]
|
(Last)
(First)
(Middle)
10 MOUNTAINVIEW ROAD, SUITE 205
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Street)
UPPER SADDLE RIVER, NJ 07458
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
ADR Shares (each one equal to 2 ordinary shares)
|
713230
|
I
(1)
(3)
|
See Footnotes
(1)
(3)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
$598,000 Convertible Debenture due February 23, 2047
(1)
(2)
(3)
|
2/23/2017
(2)
|
2/23/2047
|
ADR Shares
(2)
|
650000
(2)
|
$0.92
|
I
(1)
(3)
|
See Footnotes
(1)
(2)
(3)
|
$1,885,000 Convertible Debenture due October, 2047
(1)
(2)
(3)
|
10/2/2017
(2)
|
10/2/2047
|
ADR Shares
(2)
|
2048913
(2)
|
$0.92
|
I
(1)
(3)
|
See Footnotes
(1)
(2)
(3)
|
$19.7567 Strike Warrant
(1)
(2)
(3)
|
10/15/2015
(2)
|
10/15/2020
|
ADR Shares
(2)
|
42970
(2)
|
$19.7567
|
I
(1)
(3)
|
See Footnotes
(1)
(2)
(3)
|
$0.92 Strike Warrant
(1)
(2)
(3)
|
11/29/2016
(2)
|
11/29/2021
|
ADR Shares
(2)
|
833334
(2)
|
$0.92
|
I
(1)
(3)
|
See Footnotes
(1)
(2)
(3)
|
$1.15 Strike Warrant
(1)
(2)
(3)
|
10/2/2017
(2)
|
10/2/2022
|
ADR Shares
(2)
|
2173912
(2)
|
$1.15
|
I
(1)
(3)
|
See Footnotes
(1)
(2)
(3)
|
$1.50 Strike Warrant
(1)
(2)
(3)
|
8/9/2017
(2)
|
8/9/2022
|
ADR Shares
(2)
|
1624623
(2)
|
$1.5
|
I
(1)
(3)
|
See Footnotes
(1)
(2)
(3)
|
Explanation of Responses:
|
(1)
|
This Form 3 is being filed by Sabby Healthcare Master Fund, Ltd. ("SHMF"), Sabby Volatility Warrant Master Fund, Ltd. ("SVWMF"), Sabby Management, LLC ("Advisor") and Hal Mintz. Advisor is the investment manager of SHMF and SVWMF. Mr. Mintz is the manager of Advisor.
|
(2)
|
The conversion or exercise of this security into shares is subject to a blocker, and the holder is not allowed to convert or exercise the security into shares if as a result of such conversion or exercise the holder (in the aggregate with its affiliates) would own in excess of 4.99% of the outstanding shares. As holder (in the aggregate with its affiliates) currently owns more than 4.99% of the outstanding shares, this security is not currently eligible for conversion or exercise into shares.
|
(3)
|
The amount reported herein reflects the entire amount of Issuer's securities held by SHMF and SVWMF as of March 12, 2018. Each of the Advisor and Mr. Mintz disclaims, for purposes of Section 16 of tthe Securities Exchange Act of 1934 ("Section 16"), beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein, and this report shall not be deemed an admission that either Advisor or Mr. Mintz is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
SABBY MANAGEMENT, LLC
10 MOUNTAINVIEW ROAD
SUITE 205
UPPER SADDLE RIVER, NJ 07458
|
|
X
|
|
|
Sabby Healthcare Master Fund, Ltd.
C/O SABBY MANAGEMENT, LLC
10 MOUNTAINVIEW ROAD, SUITE 205
UPPER SADDLE RIVER, NJ 07458
|
|
X
|
|
|
Signatures
|
/s/ Robert Grundstein, COO and General Counsel of Sabby Management, LLC
|
|
3/13/2018
|
**
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 5(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.
|
Rosetta Genomics (CE) (USOTC:ROSGQ)
과거 데이터 주식 차트
부터 11월(11) 2024 으로 12월(12) 2024
Rosetta Genomics (CE) (USOTC:ROSGQ)
과거 데이터 주식 차트
부터 12월(12) 2023 으로 12월(12) 2024
Rosetta Genomics Ltd (CE) (OTC 시장)의 실시간 뉴스: 최근 기사 0
More Rosetta Genomics Ltd. News Articles