Rosalind Advisors, Inc. - 18 Apr 2023 Form 4 Insider Report for DELCATH SYSTEMS, INC. (DCTH)

Role
Director
Signature
STEVEN SALAMON
Issuer symbol
DCTH
Transactions as of
18 Apr 2023
Net transactions value
+$3,033,602
Form type
4
Filing time
20 Apr 2023, 11:40:56 UTC
Previous filing
16 Dec 2022
Next filing
22 Aug 2023
SEC
View on sec.gov

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 Warrant Expiration (or cancellation) of long derivative position with value received $3,033,602 +538,828 +297% $5.63 719,965 18 Apr 2023 DELCATH SYSTEMS, INC. COMMON 538,828 $0.0100 By Rosalind Advisors, Inc., the advisor to the Rosalind Funds F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein.
F2 The holder of the prefunded warrant is entitled to purchase the COMMON SHARES underlying the warrant from the initial exercise date UNTIL THIS Warrant is exercised in full as defined in the Form of Warrant.