0001535610-19-000056.txt : 20190117
0001535610-19-000056.hdr.sgml : 20190117
20190117154932
ACCESSION NUMBER: 0001535610-19-000056
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190115
FILED AS OF DATE: 20190117
DATE AS OF CHANGE: 20190117
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SABBY MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001535610
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33818
FILM NUMBER: 19530954
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
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ReShape Lifesciences Inc.
CENTRAL INDEX KEY: 0001371217
STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
IRS NUMBER: 481293684
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1001 CALLE AMANECER
CITY: SAN CLEMENTE
STATE: CA
ZIP: 92673
BUSINESS PHONE: 9494296680
MAIL ADDRESS:
STREET 1: 1001 CALLE AMANECER
CITY: SAN CLEMENTE
STATE: CA
ZIP: 92673
FORMER COMPANY:
FORMER CONFORMED NAME: EnteroMedics Inc
DATE OF NAME CHANGE: 20060802
3
1
primary_doc.xml
PRIMARY DOCUMENT
X0206
3
2019-01-15
0
0001371217
ReShape Lifesciences Inc.
RSLS
0001535610
SABBY MANAGEMENT, LLC
10 MOUNTAINVIEW ROAD
SUITE 205
UPPER SADDLE RIVER
NJ
07458
0
0
1
0
Common Stock
1043408
I
See Footnotes
Pre-Funded Warrant $0.01 Strike
0.01
2018-11-28
2028-11-28
Common Stock
3660000
I
See Footnotes
Warrant $1.25 Strike
1.25
2018-04-03
2019-04-03
Common Stock
16666
I
See Footnotes
Warrant $1.25 Strike
1.25
2018-06-21
2023-12-21
Common Stock
1118
I
See Footnotes
Warrant $1.25 Strike
1.25
2018-07-12
2024-01-12
Common Stock
2956
I
See Footnotes
Warrant $1.25 Strike
1.25
2019-02-03
2024-02-05
Common Stock
3690
I
See Footnotes
Warrant $1.25 Strike
1.25
2018-09-20
2023-09-20
Common Stock
14196
I
See Footnotes
Warrant $1.25 Strike
1.25
2017-08-16
2024-08-16
Common Stock
750
I
See Footnotes
Warrant $1.25 Strike
1.25
2018-06-08
2023-12-08
Common Stock
669
I
See Footnotes
Warrant $1.50 Strike
1.5
2018-11-28
2023-11-28
Common Stock
4000000
I
See Footnotes
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.
The exercise of this security into shares is subject to a blocker, and the holder is not allowed to exercise this security into shares if as a result of such exercise the holder (in the aggregate with its affiliates) would own in excess of 4.99% of the outstanding shares (9.99% of the outstanding shares in the case of the Pre-Funded Warrant). As holder (in the aggregate with its affiliates) currently owns more than 9.99% of the outstanding shares, this security is not currently eligible for exercisse into shares.
The amount reported herein reflects the entire amount of Issuer's securities held by SHMF and SVWMF as of January 15, 2019. Each of Advisor and Mr. Mintz disclaims, for purposes of Section 16 of the 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.
/s/ Robert Grundstein, COO and General Counsel of Sabby Management, LLC
2019-01-17