DCTH

SEC source: 0001623082-24-000005 · 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: 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: 0001623082-24-000005 · primary_doc.xml · derivative · 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: 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: 0001415889-24-025566 · form4-10232024_081038.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,666 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.

F3 · price: The Tranche B Warrants were acquired in the issuer's private placement of common stock and warrants and issued as part of a unit with common stock and Tranche A Warrants. 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).

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, provided, however, if the FDA Approval occurs on or before February 15, 2024 and the Tranche A Warrants have not been exercised in full on or before March 7, 2024, then the Tranche B Warrants shall automatically expire on March 8, 2024. 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.

SEC source: 0001415889-24-025566 · form4-10232024_081038.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 319,334

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: 0001415889-24-014677 · form4-05282024_080534.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 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 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 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 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: 0001415889-24-014676 · form4-05282024_080539.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 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 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 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 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: 0001415889-24-014678 · form4-05282024_080529.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 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 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 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 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: 0001415889-24-014674 · form4-05282024_080507.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 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 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 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 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: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 10

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,682

Underlying: Common Stock · 19,682 shares

Expires 2026-05-23

F6 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 12, 2023 and is fully vested.

F6 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 12, 2023 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 9

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,682 shares

Expires 2033-06-12

F6 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 12, 2023 and is fully vested.

F6 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 12, 2023 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 8

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2026-05-23

F5 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 4, 2022 and is fully vested.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 4, 2022 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 7

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,000 shares

Expires 2023-05-04

F5 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 4, 2022 and is fully vested.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 4, 2022 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 6

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2026-05-23

F4 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 5, 2021 and is fully vested.

F4 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 5, 2021 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 5

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,000 shares

Expires 2031-08-05

F4 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 5, 2021 and is fully vested.

F4 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 5, 2021 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 4

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-05-23

F3 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 23, 2020 and is fully vested.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 23, 2020 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 3

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2030-10-01

F3 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 23, 2020 and is fully vested.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 23, 2020 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 2

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 142

Underlying: Common Stock · 142 shares

Expires 2026-05-23

F2 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 1, 2019 and is fully vested.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 1, 2019 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 1

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 142 shares

Expires 2029-02-01

F1 · derivative.exercise_price: This option was previously reported as covering 100,000 shares at an exercise price of $0.281 per share, but was adjusted to reflect the stock split that occurred on December 24, 2019.

F2 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 1, 2019 and is fully vested.

F1 · shares: This option was previously reported as covering 100,000 shares at an exercise price of $0.281 per share, but was adjusted to reflect the stock split that occurred on December 24, 2019.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 1, 2019 and is fully vested.

F1 · derivative.underlying_shares: This option was previously reported as covering 100,000 shares at an exercise price of $0.281 per share, but was adjusted to reflect the stock split that occurred on December 24, 2019.

SEC source: 0001415889-24-014671 · form4-05282024_080506.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 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 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 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 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: 0001811824-24-000003 · primary_doc.xml · nonDerivative · entry 2

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

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

Disclosed balance after: 2,681,271

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.

F3 · shares: 991,615 Common shares are acquired via conversion of 1,065 F-2 preferred shares and 3,010 F-3 preferred shares.

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

SEC source: 0001811824-24-000003 · 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 Master Funds

Disclosed balance after: 2,681,271

F1 · shares: 619,946 common shares acquired via exercise of pre-funded warrants at $0.01

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

SEC source: 0001623082-24-000004 · primary_doc.xml · nonDerivative · 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 Master Funds

Disclosed balance after: 2,732,586

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.

F3 · shares: 991,615 Common shares are acquired via conversion of 1,065 F-2 preferred shares and 3,010 F-3 preferred shares.

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: 0001623082-24-000004 · 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 Master Funds

Disclosed balance after: 2,732,586

F1 · shares: 619,946 common shares acquired via exercise of pre-funded warrants at $0.01

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: 0001622627-24-000030 · 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 Master Funds

Disclosed balance after: 2,763,468

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.

F3 · shares: 991,615 Common shares are acquired via conversion of 1,065 F-2 preferred shares and 3,010 F-3 preferred shares

F2 · 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: 0001622627-24-000030 · 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 Master Funds

Disclosed balance after: 2,763,468

F1 · shares: 619,946 common shares acquired via exercise of pre-funded warrants at $0.01

F2 · 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: 0001811824-24-000002 · primary_doc.xml · nonDerivative · entry 2

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

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

Disclosed balance after: 2,681,271

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.

F3 · shares: 991,615 Common shares are acquired via conversion of 1,065 F-2 preferred shares and 3,010 F-3 preferred shares.

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

SEC source: 0001811824-24-000002 · 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 Master Funds

Disclosed balance after: 2,681,271

F1 · shares: 619,946 common shares acquired via exercise of pre-funded warrants at $0.01

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

SEC source: 0001623082-24-000003 · primary_doc.xml · nonDerivative · 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 Master Funds

Disclosed balance after: 2,732,586

F3 · shares: 619,946 common shares acquired via exercise of pre-funded warrants at $0.01.

F2 · 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: 0001623082-24-000003 · 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 Master Funds

Disclosed balance after: 2,732,586

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: 991,615 Common shares are acquired via conversion of 1,065 F-2 preferred shares and 3,010 F-3 preferred shares.

F2 · 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: 0001622627-24-000029 · 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 Master Funds

Disclosed balance after: 2,763,468

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.

F3 · shares: 991,615 Common shares are acquired via conversion of 1,065 F-2 preferred shares and 3,010 F-3 preferred shares.

F2 · 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: 0001622627-24-000029 · 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 Master Funds

Disclosed balance after: 2,763,468

F1 · shares: 619,946 common shares acquired via exercise of pre-funded warrants at $0.01

F2 · 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: 0001415889-24-008588 · form4-03192024_090356.xml · nonDerivative · entry 1

Vukovic Vojo · CIK 0001466794 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,882

SEC source: 0001415889-24-008585 · form4-03192024_090329.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 302,668

SEC source: 0001415889-24-008582 · form4-03192024_080349.xml · nonDerivative · entry 1

Pennell Sandra · CIK 0001824817 · SVP OF FINANCE, PFO AND PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,052

F1 · balance_after: Includes 4,171 shares acquired under the Issuer's 2021 Employee Stock Purchase Plan.

SEC source: 0001415889-24-008579 · form4-03192024_080319.xml · nonDerivative · entry 1

Muir Kevin · CIK 0001929335 · GM INTERVENTIONAL ONCOLOGY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,582

F1 · balance_after: Includes 5,141 shares acquired under the Issuer's 2021 Employee Stock Purchase Plan.

SEC source: 0001415889-24-008576 · form4-03192024_080330.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,330

F1 · balance_after: Includes 14,169 shares acquired under the Issuer's 2021 Employee Stock Purchase Plan.

SEC source: 0001811824-24-000001 · primary_doc.xml · nonDerivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,069,710

F1 · balance_after: Includes 1,038,828 previously reported as of November 28, 2023 in accordance with Form 13D/A 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".

SEC source: 0001623082-24-000002 · primary_doc.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,121,025

F1 · balance_after: Includes 1,038,828 previously reported as of November 28, 2023 in accordance with Form 13D/A 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".

SEC source: 0001622627-24-000017 · 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 Master Funds

Disclosed balance after: 836,133

Underlying: Delcath Systems, Inc. Common Shares · 619,946 shares

Expires 2034-03-19

F1 · derivative.expiration_date: Remain exercisable until exercised in full.

F2 · 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: 0001415889-24-008743 · form4-03202024_080324.xml · derivative · entry 1

Rook Martha S. · CIK 0002016147 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2034-03-18

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 March 18, 2024 and monthly thereafter for so long as the Reporting Person remains an employee of the Issuer (and subject to the terms and conditions of the Issuer's 2023 Inducement Plan).

SEC source: 0001415889-24-003763 · form4-02142024_090238.xml · derivative · entry 1

Vukovic Vojo · CIK 0001466794 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,500

Underlying: Common Stock · 100,500 shares

Expires 2034-02-12

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: 0001415889-24-003762 · form4-02142024_090249.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,500

Underlying: Common Stock · 301,500 shares

Expires 2034-02-12

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: 0001415889-24-003761 · form4-02142024_090242.xml · derivative · entry 1

Muir Kevin · CIK 0001929335 · VP COMMERCIAL OPERATIONS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,500

Underlying: Common Stock · 100,500 shares

Expires 2034-02-12

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: 0001415889-24-003760 · form4-02142024_090251.xml · derivative · entry 1

Pennell Sandra · CIK 0001824817 · SVP OF FINANCE, PFO AND PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,500

Underlying: Common Stock · 100,500 shares

Expires 2034-02-12

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: 0001415889-24-003758 · form4-02142024_090257.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: 100,500

Underlying: Common Stock · 100,500 shares

Expires 2034-02-12

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: 0001209191-23-058628 · doc4.xml · nonDerivative · entry 1

Vukovic Vojo · CIK 0001466794 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

SEC source: 0001209191-23-058085 · doc4.xml · nonDerivative · entry 1

MICHEL GERARD J · CIK 0001235644 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 262,345

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.88 to $2.98 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001622627-23-000032 · 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: 1,038,828

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: 0001209191-23-056187 · doc4.xml · nonDerivative · entry 1

Pennell Sandra · CIK 0001824817 · SVP of Finance, PFO and PAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.05 to $2.45 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-23-056054 · doc4.xml · nonDerivative · entry 1

Vukovic Vojo · CIK 0001466794 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.41 to $2.49 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.