0001535610-16-000166.txt : 20161115
0001535610-16-000166.hdr.sgml : 20161115
20161115104711
ACCESSION NUMBER: 0001535610-16-000166
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20161115
DATE AS OF CHANGE: 20161115
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: Roka BioScience, Inc.
CENTRAL INDEX KEY: 0001472343
STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826]
IRS NUMBER: 270881542
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1216
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-88250
FILM NUMBER: 161998239
BUSINESS ADDRESS:
STREET 1: 20 INDEPENDENCE BOULEVARD
CITY: WARREN
STATE: NJ
ZIP: 07059
BUSINESS PHONE: 908-605-4700
MAIL ADDRESS:
STREET 1: 20 INDEPENDENCE BOULEVARD
CITY: WARREN
STATE: NJ
ZIP: 07059
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: SABBY MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001535610
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 10 MOUNTAINVIEW ROAD
STREET 2: SUITE 205
CITY: UPPER SADDLE RIVER
STATE: NJ
ZIP: 07458
BUSINESS PHONE: 646-307-4527
MAIL ADDRESS:
STREET 1: 10 MOUNTAINVIEW ROAD
STREET 2: SUITE 205
CITY: UPPER SADDLE RIVER
STATE: NJ
ZIP: 07458
SC 13G
1
roka1116.txt
SABBY 13G ROKA 11.15.16
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.)*
ROKA BIOSCIENCE, INC.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
775431109
(CUSIP Number)
November 10, 2016
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
[_] Rule 13d-1(b)
[X] Rule 13d-1(c)
[_] Rule 13d-1(d)
__________
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall
not be deemed to be filed for the purpose of Section 18 of the Securities
Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that
section of the Act but shall be subject to all other provisions of the Act
(however, see the Notes).
?
CUSIP No.
775431109
1.
NAME OF REPORTING PERSONS
Sabby Healthcare Master Fund, Ltd.
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [_]
(b) [X]
3.
SEC USE ONLY
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5.
SOLE VOTING POWER
0
6.
SHARED VOTING POWER
140,259
7.
SOLE DISPOSITIVE POWER
0
8.
SHARED DISPOSITIVE POWER
140,259
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
140,259
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)
[_]
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.80
12.
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO?
CUSIP No.
775431109
1.
NAME OF REPORTING PERSONS
Sabby Volatility Warrant Master Fund, Ltd.
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [_]
(b) [X]
3.
SEC USE ONLY
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5.
SOLE VOTING POWER
0
6.
SHARED VOTING POWER
142,858
7.
SOLE DISPOSITIVE POWER
0
8.
SHARED DISPOSITIVE POWER
142,858
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
142,858
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)
[_]
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.86
12.
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO?
CUSIP No.
775431109
1.
NAME OF REPORTING PERSONS
Sabby Management, LLC
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [_]
(b) [X]
3.
SEC USE ONLY
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, USA
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5.
SOLE VOTING POWER
0
6.
SHARED VOTING POWER
283,117
7.
SOLE DISPOSITIVE POWER
0
8.
SHARED DISPOSITIVE POWER
283,117
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
283,117
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)
[_]
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.66
12.
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO
CUSIP No.
775431109
1.
NAME OF REPORTING PERSONS
Hal Mintz
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) [_]
(b) [X]
3.
SEC USE ONLY
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
USA
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
5.
SOLE VOTING POWER
0
6.
SHARED VOTING POWER
283,117
7.
SOLE DISPOSITIVE POWER
0
8.
SHARED DISPOSITIVE POWER
283,117
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
283,117
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES (SEE INSTRUCTIONS)
[_]
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.66
12.
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN?
CUSIP No.
775431109
Item 1.
(a).
Name of Issuer:
ROKA BIOSCIENCE, INC.
(b).
Address of issuer's principal executive offices:
20 Independence Boulevard
Warren, NJ, 07059
Item 2.
(a).
Name of person filing:
Sabby Healthcare Master Fund, Ltd.
Sabby Volatility Warrant Master Fund, Ltd.
Sabby Management, LLC
Hal Mintz
(b).
Address or principal business office or, if none, residence:
Sabby Healthcare Master Fund, Ltd.
c/o Ogier Fiduciary Services (Cayman) Limited
89 Nexus Way, Camana Bay
Grand Cayman KY1-9007
Cayman Islands
Sabby Volatility Warrant Master Fund, Ltd.
c/o Ogier Fiduciary Services (Cayman) Limited
89 Nexus Way, Camana Bay
Grand Cayman KY1-9007
Cayman Islands
Sabby Management, LLC
10 Mountainview Road, Suite 205
Upper Saddle River, New Jersey 07458
Hal Mintz
c/o Sabby Management, LLC
10 Mountainview Road, Suite 205
Upper Saddle River, New Jersey 07458
(c).
Citizenship:
Sabby Healthcare Master Fund, Ltd. - Cayman Islands
Sabby Volatility Warrant Master Fund, Ltd. - Cayman Islands
Sabby Management, LLC - Delaware, USA
Hal Mintz - USA
(d).
Title of class of securities:
Common stock (the Common Stock)
(e).
CUSIP No.:
775431109
Item 3.
If This Statement is filed pursuant to Section 240.13d-1(b) or 240.13d-2(b),
or (c), check whether the person filing is a
(a)
[_]
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
(b)
[_]
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c)
[_]
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
(d)
[_]
Investment company registered under section 8 of the Investment Company Act
of 1940 (15 U.S.C. 80a-8).
(e)
[_]
An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);
(f)
[_]
An employee benefit plan or endowment fund in accordance with Section
240.13d-1(b)(1)(ii)(F);
(g)
[_]
A parent holding company or control person in accordance with Section
240.13d-1(b)(1)(ii)(G);
(h)
[_]
A savings association as defined in Section 3(b) of the Federal Deposit
Insurance Act (12 U.S.C.1813);
(i)
[_]
A church plan that is excluded from the definition of an investment company
under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C.
80a-3);
(j)
[_]
A non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J);
(k)
[_]
Group, in accordance with Section 240.13d-1(b)(1)(ii)(K). If filing as a
non-U.S. institution in accordance with Section 240.13d-1(b)(1)(ii)(J),
please specify the type of institution:
Item 4.
Ownership.
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a)
Amount beneficially owned:
Sabby Healthcare Master Fund, Ltd. - 140,259
Sabby Volatility Warrant Master Fund, Ltd. - 142,858
Sabby Management, LLC - 283,117
Hal Mintz - 283,117
(b)
Percent of class:
Sabby Healthcare Master Fund, Ltd. - 2.80%
Sabby Volatility Warrant Master Fund, Ltd. - 2.86%
Sabby Management, LLC - 5.66%
Hal Mintz - 5.66%
(c)
Number of shares as to which the person has:
Sabby Healthcare Master Fund, Ltd.
(i)
Sole power to vote or to direct the vote
0
,
(ii)
Shared power to vote or to direct the vote
140,259
,
(iii)
Sole power to dispose or to direct the disposition of
0
,
(iv)
Shared power to dispose or to direct the disposition of
140,259
..
Sabby Volatility Warrant Master Fund, Ltd.
(i)
Sole power to vote or to direct the vote
0
,
(ii)
Shared power to vote or to direct the vote
142,858
,
(iii)
Sole power to dispose or to direct the disposition of
0
,
(iv)
Shared power to dispose or to direct the disposition of
142,858
..
Sabby Management, LLC
(i)
Sole power to vote or to direct the vote
0
,
(ii)
Shared power to vote or to direct the vote
283,117
,
(iii)
Sole power to dispose or to direct the disposition of
0
,
(iv)
Shared power to dispose or to direct the disposition of
283,117
..
Hal Mintz
(i)
Sole power to vote or to direct the vote
0
,
(ii)
Shared power to vote or to direct the vote
283,117
,
(iii)
Sole power to dispose or to direct the disposition of
0
,
(iv)
Shared power to dispose or to direct the disposition of
283,117
..
As calculated in accordance with Rule 13d-3 of the Securities Exchange Act
of 1934, as amended, (i) Sabby Healthcare Master Fund, Ltd. and
Sabby Volatility Master Fund, Ltd. beneficially own 140,259 and 142,858
shares of the Issuer's common stock (Common Stock), respectively,
representing approximately 2.80% and 2.86% of the Common Stock,
respectively, and (ii) Sabby Management, LLC and Hal Mintz each beneficially
own 283,117 shares of the Common Stock, representing approximately 5.66%
of the Common Stock. Sabby Management, LLC and Hal Mintz do not directly own
any shares of Common Stock, but each indirectly owns 283,117 shares of
Common Stock. Sabby Management, LLC, a Delaware limited liability company,
indirectly owns 283,117 shares of Common Stock because it serves as the
investment manager of Sabby Healthcare Master Fund, Ltd. and
Sabby Volatility Warrant Master Fund, Ltd., Cayman Islands companies.
Mr. Mintz indirectly owns 283,117 shares of Common Stock in his capacity
as manager of Sabby Management, LLC.
Item 5.
Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities, check the following [ ].
?
Item 6.
Ownership of More Than Five Percent on Behalf of Another Person.
Not applicable
Item 7.
Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on by the Parent Holding Company or Control Person.
Not applicable
Item 8.
Identification and Classification of Members of the Group.
Not applicable
Item 9.
Notice of Dissolution of Group.
Not applicable
?
Item 10.
Certification.
By signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were not acquired and are not held for the
purpose of or with the effect of changing or influencing the control of the
issuer of the securities and were not acquired and are not held in
connection with or as a participant in any transaction having that purpose
or effect.
?
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete
and correct.
November 15, 2016
(Date)
Sabby Healthcare Master Fund, Ltd.
By: /s/ Harry Thompson
Name: Harry Thompson
Title: Authorized Person of TDF Management Ltd.,
a Director
Sabby Volatility Warrant Master Fund, Ltd.
By: /s/ Harry Thompson
Name: Harry Thompson
Title: Authorized Person of TDF Management Ltd.,
a Director
Sabby Management, LLC*
By: /s/ Robert Grundstein
Name: Robert Grundstein
Title: Chief Operating Officer
/s/ Hal Mintz*
Hal Mintz
*This Reporting Person disclaims beneficial ownership over the securities
reported herein except to the extent of its pecuniary interest therein.
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is
signed on behalf of a person by his authorized representative other than an
executive officer or general partner of the filing person, evidence of the
representative's authority to sign on behalf of such person shall be filed
with the statement, provided, however, that a power of attorney for this
purpose which is already on file with the Commission may be incorporated by
reference. The name and any title of each person who signs the statement
shall be typed or printed beneath his signature.
Note. Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See s.240.13d-7 for
other parties for whom copies are to be sent.
Attention. Intentional misstatements or omissions of fact constitute
Federal criminal violations (see 18 U.S.C. 1001).
EXHIBIT 1
----------
JOINT FILING AGREEMENT
The undersigned hereby agree that this Statement on Schedule 13G with
respect to the beneficial ownership of shares of Common Stock of Rexahn
Pharmaceuticals, Inc. is filed jointly, on behalf of each of them.
Dated: November 15, 2016
Sabby Healthcare Master Fund, Ltd.
By: /s/ Harry Thompson
Name: Harry Thompson
Title: Authorized Person of TDF Management
Ltd., a Director
Sabby Volatility Warrant Master Fund, Ltd.
By: /s/ Harry Thompson
Name: Harry Thompson
Title: Authorized Person of TDF Management
Ltd., a Director
Sabby Management, LLC
By: /s/ Robert Grundstein
Name: Robert Grundstein
Title: Chief Operating Officer
/s/ Hal Mintz
Hal Mintz