SABBY MANAGEMENT, LLC

SABBY MANAGEMENT, LLC of SPICEWOOD, TX is an SEC exempt reporting adviser (CRD 162659).

Registration

Name	Role	Location
Hal David Mintz	PRINCIPAL AND MANAGING MEMBER OF SABBY MANAGEMENT, LLC AND SABBY CAPITAL, LLC	—
Robert Alan Grundstein	CHIEF COMPLIANCE OFFICER OF SABBY MANAGEMENT, LLC AND SABBY CAPITAL, LLC; PRINCIPAL, MEMBER, CHIEF OPERATING OFFICER AND GENERAL COUNSEL OF SABBY MANAGEMENT, LLC AND SABBY CAPITAL, LLC	—
MINTZ HAL DAVID	PRINCIPAL AND MANAGER OF BAM MANAGEMENT, LLC, BAM OFFSHORE MANAGEMENT, LLC AND OFFSHORE FUND GP, LLC; PRINCIPAL AND MANAGER OF SABBY MANAGEMENT, LLC AND SABBY CAPITAL, LLC; PRINCIPAL AND MANAGING MEMBER OF SABBY MANAGEMENT, LLC AND SABBY CAPITAL, LLC	—
GRUNDSTEIN ROBERT ALAN	CHIEF COMPLIANCE OFFICER OF SABBY MANAGEMENT, LLC AND SABBY CAPITAL, LLC; CHIEF OPERATING OFFICER AND GENERAL COUNSEL OF BAM MANAGEMENT, LLC, BAM OFFSHORE MANAGEMENT, LLC AND OFFSHORE FUND GP, LLC; CHIEF OPERATING OFFICER AND GENERAL COUNSEL OF SABBY MANAGEMENT, LLC AND SABBY CAPITAL, LLC (+2 more)	—

Initiated	Type	Allegations	Status	Amount
2015-07-21	regulatory	IT APPEARED THAT SABBY MANAGEMENT, LLC ("SABBY") ENGAGED IN PROHIBITED TRADING WHENIT SOLD SHARES DURING A RESTRICTED PERIOD AND PURCHASED SHARES IN AN OFFERING BY COLLABRX, INC. (TICKER: CLRX), WHICH OFFERING PRICED ON FEBRUARY 25, 2015.	Final	$92K