Rosalind Advisors, Inc. - Dec 24, 2024 Form 4 Insider Report for DELCATH SYSTEMS, INC. (DCTH)

Role
Director
Signature
Steven Salamon
Stock symbol
DCTH
Transactions as of
Dec 24, 2024
Transactions value $
$8,533,500
Form type
4
Date filed
12/26/2024, 03:23 PM
Previous filing
Nov 1, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction DCTH Common shares Conversion of derivative security $2.5M +250K +9.05% $10.00 3.01M Dec 24, 2024 By Rosalind Advisors, Inc., the advisor to the Rosalind Fund F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction DCTH Pre-funded Warrants Options Exercise $6.03M +604K +83.89% $9.99 1.32M Dec 24, 2024 DELCATH SYSTEMS, INC. 604K $0.01 By Rosalind Advisors, Inc., the advisor to the Rosalind Funds F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Converted a total of 853,954 Series E/E-1 warrants to 603,954 Pre-funded Warrants at $9.99 and 250,000 common shares at $10.00.
F2 Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein
F3 NA