DCTH

SEC source: 0001622627-26-000026 · primary_doc.xml · derivative · entry 3

Rosalind Advisors, Inc. · CIK 0001622627 · Director

SALAMON STEVEN A J · CIK 0001623082 · Director

Aharon Gil · CIK 0001811824 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or

Disclosed balance after: 9,112.38

Underlying: Common Shares · 3,627 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: Rosalind Opportunities Fund I L.P. converted 36.27 shares of Series E Preferred Stock to acquire 3,627 common shares.

F4 · derivative.exercise_date: The Series E Preferred Stock has no expiration date and is immediately convertible.

F4 · derivative.expiration_date: The Series E Preferred Stock has no expiration date and is immediately convertible.

F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001622627-26-000026 · primary_doc.xml · nonDerivative · entry 2

Rosalind Advisors, Inc. · CIK 0001622627 · Director

SALAMON STEVEN A J · CIK 0001623082 · Director

Aharon Gil · CIK 0001811824 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Funds

Disclosed balance after: 3,389,593

F3 · shares: Shares distributed in kind by Rosalind Opportunities Fund I L.P. to limited partners in satisfaction of redemption requests, for no consideration.

F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001622627-26-000026 · primary_doc.xml · nonDerivative · entry 1

Rosalind Advisors, Inc. · CIK 0001622627 · Director

SALAMON STEVEN A J · CIK 0001623082 · Director

Aharon Gil · CIK 0001811824 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Funds

Disclosed balance after: 3,417,095

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: Rosalind Opportunities Fund I L.P. converted 36.27 shares of Series E Preferred Stock to acquire 3,627 common shares.

F2 · balance_after: Rosalind Opportunities Fund I L.P. converted 36.27 shares of Series E Preferred Stock to acquire 3,627 common shares.

F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001623082-26-000003 · form4-05142026_050503.xml · derivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

SEC source: 0001784561-26-000003 · form4-05142026_090516.xml · derivative · entry 1

Sylvester John Richard · CIK 0001784561 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

SEC source: 0001629627-26-000003 · form4-05142026_090552.xml · derivative · entry 1

Martell Bridget A · CIK 0001629627 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

SEC source: 0001263500-26-000004 · form4-05142026_050505.xml · derivative · entry 1

CZEREPAK ELIZABETH · CIK 0001263500 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

SEC source: 0001811824-26-000003 · form4-05142026_050501.xml · derivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

SEC source: 0001824817-26-000006 · form4-03062026_090318.xml · nonDerivative · entry 1

Pennell Sandra · CIK 0001824817 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,018

F1 · balance_after: Includes an aggregate of 10,433 shares acquired under the Issuer's 2021 Employee Stock Purchase Plan.

SEC source: 0001235644-26-000007 · form4-03032026_040309.xml · nonDerivative · entry 1

MICHEL GERARD J · CIK 0001235644 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 342,034

SEC source: 0001929605-26-000003 · form4-02182026_090210.xml · derivative · entry 2

Hoffman David L. · CIK 0001929605 · GEN'L COUNSEL, CCO & SECY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,250

Underlying: Common Stock · 28,250 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining 2/3 two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

F3 · derivative.expiration_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining 2/3 two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

SEC source: 0001929605-26-000003 · form4-02182026_090210.xml · derivative · entry 1

Hoffman David L. · CIK 0001929605 · GEN'L COUNSEL, CCO & SECY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,500

Underlying: Common Stock · 56,500 shares

Expires 2036-02-17

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 17, 2026 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001929335-26-000004 · form4-02182026_090208.xml · derivative · entry 2

Muir Kevin · CIK 0001929335 · GM INTERVENTIONAL ONCOLOGY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,250

Underlying: Common Stock · 28,250 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining 2/3 two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

F3 · derivative.expiration_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining 2/3 two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

SEC source: 0001929335-26-000004 · form4-02182026_090208.xml · derivative · entry 1

Muir Kevin · CIK 0001929335 · GM INTERVENTIONAL ONCOLOGY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,500

Underlying: Common Stock · 56,500 shares

Expires 2036-02-17

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 17, 2026 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001824817-26-000003 · form4-02182026_090207.xml · derivative · entry 2

Pennell Sandra · CIK 0001824817 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,250

Underlying: Common Stock · 28,250 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining 2/3 two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

F3 · derivative.expiration_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining 2/3 two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

SEC source: 0001824817-26-000003 · form4-02182026_090207.xml · derivative · entry 1

Pennell Sandra · CIK 0001824817 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,500

Underlying: Common Stock · 56,500 shares

Expires 2036-02-17

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 17, 2026 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0002016147-26-000003 · form4-02182026_090203.xml · derivative · entry 2

Rook Martha S. · CIK 0002016147 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,250

Underlying: Common Stock · 28,250 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining 2/3 two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

F3 · derivative.expiration_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining 2/3 two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

SEC source: 0002016147-26-000003 · form4-02182026_090203.xml · derivative · entry 1

Rook Martha S. · CIK 0002016147 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,500

Underlying: Common Stock · 56,500 shares

Expires 2036-02-17

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 17, 2026 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001466794-26-000003 · form4-02182026_090205.xml · derivative · entry 2

Vukovic Vojo · CIK 0001466794 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,250

Underlying: Common Stock · 28,250 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining 2/3 two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

F3 · derivative.expiration_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining 2/3 two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

SEC source: 0001466794-26-000003 · form4-02182026_090205.xml · derivative · entry 1

Vukovic Vojo · CIK 0001466794 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,500

Underlying: Common Stock · 56,500 shares

Expires 2036-02-17

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 17, 2026 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001235644-26-000005 · form4-02182026_090201.xml · derivative · entry 2

MICHEL GERARD J · CIK 0001235644 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,500

Underlying: Common Stock · 97,500 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

F3 · derivative.expiration_date: Represents an RSU award, one-third of which shall vest on February 17, 2027 with the remaining two-thirds of the RSUs vesting in equal annual installments over the following two years. The vesting of the RSUs is subject to the Reporting Person's continuous service through each such vesting date.

SEC source: 0001235644-26-000005 · form4-02182026_090201.xml · derivative · entry 1

MICHEL GERARD J · CIK 0001235644 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 195,000

Underlying: Common Stock · 195,000 shares

Expires 2036-02-17

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 17, 2026 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001784561-25-000005 · form4-11252025_041104.xml · nonDerivative · entry 1

Sylvester John Richard · CIK 0001784561 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,936

SEC source: 0001235644-25-000004 · form4-11132025_041124.xml · nonDerivative · entry 1

MICHEL GERARD J · CIK 0001235644 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,834

SEC source: 0001415889-25-017260 · form4-06132025_090639.xml · derivative · entry 2

Vukovic Vojo · CIK 0001466794 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,500

Underlying: Common Stock · 42,000 shares

Expires 2034-02-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 12, 2024 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-25-017260 · form4-06132025_090639.xml · nonDerivative · entry 1

Vukovic Vojo · CIK 0001466794 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,882

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-25-013616 · form4-05192025_040512.xml · derivative · entry 1

Sylvester John Richard · CIK 0001784561 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

SEC source: 0001415889-25-013615 · form4-05192025_040510.xml · derivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

SEC source: 0001415889-25-013614 · form4-05192025_040507.xml · derivative · entry 1

CZEREPAK ELIZABETH · CIK 0001263500 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

SEC source: 0001415889-25-013613 · form4-05192025_040505.xml · derivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

SEC source: 0001415889-25-013612 · form4-05192025_040503.xml · derivative · entry 1

Martell Bridget A · CIK 0001629627 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service.

SEC source: 0001622627-25-000020 · primary_doc.xml · nonDerivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Funds

Disclosed balance after: 3,413,468

F1 · shares: Rosalind Opportunities Fund I L.P. exercised warrants to aquire 400,000 common shares.

F2 · balance_after: Rosalind Master Fund L.P. - 1,565,844, Rosalind Opportunities Fund I L.P. - 1,734,545, Steven Salamon - 82,197, Gilad Aharon - 30,882

F3 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001622627-25-000018 · primary_doc.xml · nonDerivative · entry 1

Rosalind Advisors, Inc. · CIK 0001622627 · Director

SALAMON STEVEN A J · CIK 0001623082 · Director

Aharon Gil · CIK 0001811824 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Funds

Disclosed balance after: 3,413,468

F2 · shares: Rosalind Opportunities Fund I L.P. exercised warrants to aquire 400,000 common shares.

F3 · balance_after: Rosalind Master Fund L.P. - 1,565,844, Rosalind Opportunities Fund I L.P. - 1,734,545, Steven Salamon - 82,197, Gilad Aharon - 30,882

F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001622627-25-000019 · primary_doc.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Funds

Disclosed balance after: 3,413,468

F3 · shares: Rosalind Opportunities Fund I L.P. exercised warrants to aquire 400,000 common shares.

F2 · balance_after: Rosalind Master Fund L.P. - 1,565,844, Rosalind Opportunities Fund I L.P. - 1,734,545, Steven Salamon - 82,197, Gilad Aharon - 30,882

F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001415889-25-003408 · form4-02082025_120244.xml · derivative · entry 1

Pennell Sandra · CIK 0001824817 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,000

Underlying: Common Stock · 113,000 shares

Expires 2035-02-07

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 7, 2025 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-25-003410 · form4-02082025_120230.xml · derivative · entry 1

Hoffman David L. · CIK 0001929605 · GEN'L COUNSEL, CCO & SECY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,000

Underlying: Common Stock · 113,000 shares

Expires 2035-02-07

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 7, 2025 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-25-003407 · form4-02082025_120248.xml · derivative · entry 1

Muir Kevin · CIK 0001929335 · GM INTERVENTIONAL ONCOLOGY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,000

Underlying: Common Stock · 113,000 shares

Expires 2035-02-07

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 7, 2025 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-25-003404 · form4-02082025_120239.xml · derivative · entry 1

Vukovic Vojo · CIK 0001466794 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,000

Underlying: Common Stock · 113,000 shares

Expires 2035-02-07

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 7, 2025 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-25-003406 · form4-02082025_120213.xml · derivative · entry 1

Rook Martha S. · CIK 0002016147 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,000

Underlying: Common Stock · 113,000 shares

Expires 2035-02-07

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 7, 2025 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-25-003402 · form4-02082025_120252.xml · derivative · entry 1

MICHEL GERARD J · CIK 0001235644 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 390,000

Underlying: Common Stock · 390,000 shares

Expires 2035-02-07

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 7, 2025 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001622627-24-000065 · primary_doc.xml · derivative · entry 2

Rosalind Advisors, Inc. · CIK 0001622627 · Director

SALAMON STEVEN A J · CIK 0001623082 · Director

Aharon Gil · CIK 0001811824 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 1,323,919

Underlying: DELCATH SYSTEMS, INC. · 603,954 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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.

F3 · derivative.exercise_date: NA

F3 · derivative.expiration_date: NA

F2 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001622627-24-000065 · primary_doc.xml · nonDerivative · entry 1

Rosalind Advisors, Inc. · CIK 0001622627 · Director

SALAMON STEVEN A J · CIK 0001623082 · Director

Aharon Gil · CIK 0001811824 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Fund

Disclosed balance after: 3,013,468

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001811824-24-000006 · primary_doc.xml · derivative · entry 2

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 1,323,919

Underlying: DELCATH SYSTEMS, INC. · 603,954 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

F3 · derivative.exercise_date: NA

F3 · derivative.expiration_date: NA

F2 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001811824-24-000006 · primary_doc.xml · nonDerivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 3,013,468

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001623082-24-000006 · primary_doc.xml · derivative · entry 2

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 1,323,919

Underlying: DELCATH SYSTEMS, INC. · 603,954 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: 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.

F3 · derivative.exercise_date: NA

F3 · derivative.expiration_date: NA

F1 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001623082-24-000006 · primary_doc.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 3,013,468

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: 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.

F1 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001811824-24-000004 · primary_doc.xml · derivative · entry 2

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 0

Underlying: CASH · Not disclosed shares

Expires not disclosed

F4 · derivative.exercise_date: N/A

F4 · derivative.expiration_date: N/A

F5 · derivative.underlying: Delcath repaid the DELCATH SYSTEM - 8% CONVERTIBLE NOTE in full with cash of $1,423,333.

F3 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001811824-24-000004 · primary_doc.xml · derivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 0

Underlying: F-4 PREFERRED STOCK · 500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Immediately exercisable

F2 · derivative.expiration_date: The Tranche B Warrants expire the earlier of (i) twenty-one (21) days following the date of the Issuer's public announcement of record at least $10,000,000 in quarterly U.S. revenue from the commercialization of HEPZATO and (ii) March 31, 2026. The Issuer announced on October 17, 2024 that it had recorded at least $10,000,000 in quarterly U.S. revenue from the commercialization of HEPZATO and therefore such Tranche B Warrants expire on November 7, 2024.

F3 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001622627-24-000059 · primary_doc.xml · derivative · entry 2

Rosalind Advisors, Inc. · CIK 0001622627 · Director

SALAMON STEVEN A J · CIK 0001623082 · Director

Aharon Gil · CIK 0001811824 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 0

Underlying: CASH · Not disclosed shares

Expires not disclosed

F5 · derivative.exercise_date: N/A

F5 · derivative.expiration_date: N/A

F4 · derivative.underlying: Delcath repaid the DELCATH SYSTEM - 8% CONVERTIBLE NOTE in full with cash of $1,423,333.

F3 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein

SEC source: 0001622627-24-000059 · primary_doc.xml · derivative · entry 1

Rosalind Advisors, Inc. · CIK 0001622627 · Director

SALAMON STEVEN A J · CIK 0001623082 · Director

Aharon Gil · CIK 0001811824 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 0

Underlying: F-4 PREFERRED STOCK · 500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Immediately exercisable

F2 · derivative.expiration_date: The Tranche B Warrants expire the earlier of (i) twenty-one (21) days following the date of the Issuer's public announcement of record at least $10,000,000 in quarterly U.S. revenue from the commercialization of HEPZATO and (ii) March 31, 2026. The Issuer announced on October 17, 2024 that it had recorded at least $10,000,000 in quarterly U.S. revenue from the commercialization of HEPZATO and therefore such Tranche B Warrants expire on November 7, 2024.

F3 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein