| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | DCTH | Common Stock | Exercise of in-the-money or at-the-money derivative security | $139,995 | +31,110 | +16% | $4.50 | 228,345 | 18 Aug 2023 | Direct |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | DCTH | Tranche A Warrants to Purchase Common Stock | Exercise of in-the-money or at-the-money derivative security | $3,889 | -31,110 | -100% | $0.1250 | 0 | 18 Aug 2023 | Common Stock | 31,110 | $4.50 | Direct | F1, F2, F3 |
| Id | Content |
|---|---|
| F1 | The Tranche A Warrants are immediately exercisable. |
| F2 | The Tranche A Warrants expire the earlier of (i) twenty-one (21) days following the date of the Issuer's public announcement of its receipt of written approval from the U.S. Food and Drug Administration of its New Drug Application for HEPZATO (the "FDA Approval") and (ii) March 31, 2026. |
| F3 | The common stock and Tranche A and Tranche B Warrants were acquired in the issuer's private placement of common stock and warrants, issued as part of a unit. The per unit purchase price was $5.09, including a purchase price of $4.84 per share of common stock and $0.125 for each of the Tranche A and Tranche B Warrants. Each unit consisted of one share of common stock and an accompanying common stock warrant valued at 140% of the aggregate purchase price (the Tranche A Warrant) and an accompanying common stock warrant valued at 100% of the aggregate purchase price (the Tranche B Warrant). |