Accession Number: | 0001019056-21-000377 |
Date: | 2021-06-23 |
Issuer: | DELCATH SYSTEMS, INC. (DCTH) |
Original Submission Date: |
SALAMON STEVEN A J
C/O ROSALIND ADVISORS, INC.
175 BLOOR STREET SUITE 1316, NORTH TOWER
TORONTO, A6 M5R 2L4
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |