Form Type: 4

SEC EDGAR Link
Accession Number:0001019056-21-000377
Date:2021-06-23
Issuer: DELCATH SYSTEMS, INC. (DCTH)
Original Submission Date:

Reporting Person:

SALAMON STEVEN A J
C/O ROSALIND ADVISORS, INC.
175 BLOOR STREET SUITE 1316, NORTH TOWER TORONTO, A6 M5R 2L4

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON SHARES 2021-06-23 C 877,379 a $0.00 404,500 indirect f5
COMMON SHARES 2021-06-24 J 877,379 d $0.00 404,500 indirect f4,f5
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
SERIES E CONVERTIBLE PREFERRED STOCK 0.0 2021-06-23 deemed execution date C 7,561 (d) common stock 756,135 $0.00 2,749 indirect by rosalind advisors, inc., the advisor to the rosalind funds
SERIES E-1 CONVERTIBLE PREFERRED STOCK 0.0 2021-06-24 deemed execution date C 1,122 (d) common stock 112,244 $0.00 1,137 indirect by rosalind advisors, inc., the advisor to the rosalind funds
Footnotes
IDfootnote
f1 the series e convertible preferred stock converted into delcath systems, inc. common stock on a 100-for-1 basis and had no expiration date.
f2 the series e-1 convertible preferred stock converted into delcath systems, inc. common stock on a 100-for-1 basis and had no expiration date.
f3 rosalind opportunities fund i l.p., by its general partner, converted 7,561 series e preferred stock and 1,122 series e-1 preferred stock on a 100-for-1 basis over a 3-day period for a total of 877,379 delcath systems, inc. common stock. in conjunction with the conversion, the reporting person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. all rights and ownership of the converted common shares are transferred to its partners immediately following the conversion.
f4 includes 404,500 previously reported as of march 31, 2021 in accordance with form 3 filing indirectly owned by the reporting person as officer(s) of rosalind advisors, inc., the advisor to rosalind opportunities fund i l.p. and rosalind master fund l.p., collectively, the "rosalind funds".
f5 each reporting persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein.
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