DCTH

SEC source: 0001209191-23-056051 · doc4.xml · nonDerivative · entry 1

Hoffman David L. · CIK 0001929605 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.40 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.

SEC source: 0001209191-23-052969 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,526

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.42 to $3.45 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 sold at each separate price within the range set forth in this footnote.

SEC source: 0001622627-23-000017 · primary_doc.xml · derivative · entry 1

Rosalind Advisors, Inc. · CIK 0001622627 · Director

Aharon Gil · CIK 0001811824 · Director

SALAMON STEVEN A J · CIK 0001623082 · 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: Series F-3 Convertible Preferred Stock · 3,010 shares

Expires 2023-09-04

F2 · derivative.underlying: Each F-3 Preferred is convertible into DELCATH SYSTEMS, Inc. Common Stock at $4.50 per share

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

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: 0001209191-23-046988 · doc4.xml · nonDerivative · entry 1

Sylvester John Richard · CIK 0001784561 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,550

SEC source: 0001209191-23-046672 · doc4.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 · 31,110 shares

Expires not disclosed

F3 · price: 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).

F1 · derivative.exercise_date: The Tranche A Warrants are immediately exercisable.

F2 · derivative.expiration_date: 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.

SEC source: 0001209191-23-046672 · 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: 228,345

SEC source: 0000899243-23-016201 · doc4.xml · derivative · entry 1

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 2033-06-12

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 July 12, 2023 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).

SEC source: 0000899243-23-016202 · doc4.xml · derivative · entry 1

Pennell Sandra · CIK 0001824817 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-06-12

F1 · derivative.exercise_date: One-third (1/3rd) of the shares subject to the option shall vest on June 1, 2024, with the remaining shares vesting in equal monthly installments over the following two years thereafter, for so long as the reporting person remains an employee of Delcath Systems, Inc. The option is also subject to acceleration under certain circumstances.

SEC source: 0000899243-23-016199 · doc4.xml · derivative · entry 1

Hoffman David L. · CIK 0001929605 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,813

Underlying: Common Stock · 59,813 shares

Expires 2033-06-12

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 July 12, 2023 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: 0000899243-23-016196 · doc4.xml · derivative · entry 1

CZEREPAK ELIZABETH · CIK 0001263500 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,682

Underlying: Common Stock · 19,682 shares

Expires 2033-06-12

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 July 12, 2023 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).

SEC source: 0000899243-23-016197 · doc4.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,887

Underlying: Common Stock · 168,887 shares

Expires 2033-06-12

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 July 12, 2023 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: 0000899243-23-016193 · doc4.xml · derivative · entry 1

John Johnny · CIK 0001922221 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,813

Underlying: Common Stock · 59,813 shares

Expires 2033-06-12

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 July 12, 2023 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: 0000899243-23-016271 · doc4.xml · derivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,682

Underlying: Common Stock · 19,682 shares

Expires 2033-06-12

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 July 12, 2023 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).

SEC source: 0000899243-23-016270 · doc4.xml · derivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,682

Underlying: Common Stock · 19,682 shares

Expires 2033-06-12

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 July 12, 2023 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).

SEC source: 0000899243-23-016249 · doc4.xml · derivative · entry 1

Sylvester John Richard · CIK 0001784561 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,682

Underlying: Common Stock · 19,682 shares

Expires 2033-06-12

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 July 12, 2023 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).

SEC source: 0000899243-23-016240 · doc4.xml · derivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,813

Underlying: Common Stock · 59,813 shares

Expires 2033-06-12

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 July 12, 2023 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: 0000899243-23-016238 · doc4.xml · derivative · entry 1

Muir Kevin · CIK 0001929335 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,813

Underlying: Common Stock · 59,813 shares

Expires 2033-06-12

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 July 12, 2023 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: 0001622627-23-000010 · 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: 719,965

Underlying: DELCATH SYSTEMS, INC. COMMON · 538,828 shares

Expires 2032-07-20

F2 · derivative.expiration_date: 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.

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: 0000899243-23-010009 · doc4.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,666

Underlying: Common Stock · 16,666 shares

Expires not disclosed

F1 · price: 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).

F2 · derivative.exercise_date: The Tranche A Warrants and Tranche B Warrants are immediately exercisable.

F4 · 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.

SEC source: 0000899243-23-010009 · doc4.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,110

Underlying: Common Stock · 31,110 shares

Expires not disclosed

F1 · price: 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).

F2 · derivative.exercise_date: The Tranche A Warrants and Tranche B Warrants are immediately exercisable.

F3 · derivative.expiration_date: 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.

SEC source: 0000899243-23-010009 · 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: 197,235

F1 · price: 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).

SEC source: 0001415889-24-001868 · form4-01262024_090147.xml · derivative · entry 1

Muir Kevin · CIK 0001929335 · VP COMMERCIAL OPERATIONS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,800

Underlying: Common Stock · 46,800 shares

Expires 2033-02-08

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 8, 2023 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions ofthe Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-24-001867 · form4-01262024_090136.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: 46,800

Underlying: Common Stock · 46,800 shares

Expires 2033-02-08

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 8, 2023 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions ofthe Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-24-001866 · form4-01262024_090127.xml · derivative · entry 1

Purpura John · CIK 0001485555 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,160

Underlying: Common Stock · 56,160 shares

Expires 2033-02-08

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 8, 2023 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: 0001415889-24-001865 · form4-01262024_090115.xml · derivative · entry 1

John Johnny · CIK 0001922221 · SVP CLINICAL DEV & MED AFFAIRS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,800

Underlying: Common Stock · 46,800 shares

Expires 2033-02-08

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 8, 2023 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions ofthe Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-24-001864 · form4-01262024_090156.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,400

Underlying: Common Stock · 140,400 shares

Expires 2033-02-08

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 8, 2023 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions ofthe Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-24-004355 · form4-02202024_090212.xml · derivative · entry 1

Dias Anthony · CIK 0001554843 · VP FINANCE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,200

Underlying: Common Stock · 31,200 shares

Expires 2023-11-19

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 8, 2023 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions ofthe Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001623082-22-000008 · primary_doc.xml · nonDerivative · entry 1

Rosalind Advisors, Inc. · CIK 0001622627 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 459,315

F1 · ownership.nature: Includes 444,100 previously reported as of May 14, 2022 in accordance with Form 3 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"

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: 0001623082-22-000007 · primary_doc.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,315

F1 · balance_after: Includes 440,100 previously reported as of May 12, 2022 in accordance with Form 3 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: 0001623082-22-000006 · primary_doc.xml · derivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 1,258,793

Underlying: DELCATH SYSTEMS, INC. COMMON · 692,042 shares

Expires 2032-12-13

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: 0001623082-22-000005 · primary_doc.xml · derivative · entry 1

Rosalind Advisors, Inc. · CIK 0001622627 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 1,258,793

Underlying: DELCATH SYSTEMS, INC. COMMON · 692,042 shares

Expires 2032-12-13

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: 0001623082-22-000004 · primary_doc.xml · derivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 1,258,793

Underlying: DELCATH SYSTEMS, INC. COMMON · 692,042 shares

Expires 2032-12-13

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: 0000899243-22-038446 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,589

SEC source: 0000899243-22-026440 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,864

SEC source: 0001811824-22-000004 · primary_doc.xml · derivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 566,751

Underlying: DELCATH SYSTEMS, INC. COMMON · 566,751 shares

Expires 2032-07-20

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: 0001623082-22-000002 · primary_doc.xml · derivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 566,751

Underlying: DELCATH SYSTEMS, INC. COMMON · 566,751 shares

Expires 2032-07-20

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: 0000899243-22-018540 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,021

SEC source: 0001019056-22-000388 · salamon.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 440,100

F1 · ownership.nature: Includes 435,100 previously reported as of May 13, 2022 in accordance with Form 3 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".

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: 0001019056-22-000384 · salamon.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 29,424.31

F1 · ownership.nature: Includes 429,100 previously reported as of April 20, 2022 in accordance with Form 3 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".

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: 0000899243-22-017062 · doc4.xml · derivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2023-05-04

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month, with the first such vesting to occur on June 1, 2022 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).

SEC source: 0000899243-22-017059 · doc4.xml · derivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2023-05-04

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month, with the first such vesting to occur on June 1, 2022 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).

SEC source: 0000899243-22-017043 · doc4.xml · derivative · entry 1

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2023-05-04

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month, with the first such vesting to occur on June 1, 2022 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. The option is subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended.

SEC source: 0000899243-22-017041 · doc4.xml · derivative · entry 1

CZEREPAK ELIZABETH · CIK 0001263500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2023-05-04

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month, with the first such vesting to occur on June 1, 2022 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. The option is subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended.

SEC source: 0000899243-22-017038 · doc4.xml · derivative · entry 1

Sylvester John Richard · CIK 0001784561 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2023-05-04

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month, with the first such vesting to occur on June 1, 2022 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. The option is subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended.

SEC source: 0001019056-22-000356 · salamon.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 429,100

F1 · ownership.nature: Includes 427,500 previously reported as of April 14, 2022 in accordance with Form 3 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".

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: 0001019056-22-000358 · rosalind.xml · nonDerivative · entry 1

Rosalind Advisors, Inc. · CIK 0001622627 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 433,100

F1 · ownership.nature: Includes 431,500 previously reported as of April 19, 2022 in accordance with Form 3 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".

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: 0000899243-22-015014 · doc4.xml · nonDerivative · entry 2

MICHEL GERARD J · CIK 0001235644 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,050

SEC source: 0000899243-22-015014 · doc4.xml · nonDerivative · entry 1

MICHEL GERARD J · CIK 0001235644 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,250

SEC source: 0001019056-22-000354 · rosalind.xml · nonDerivative · entry 1

Rosalind Advisors, Inc. · CIK 0001622627 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 431,500

F1 · ownership.nature: Includes 428,000 previously reported as of April 12, 2022 in accordance with Form 3 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".

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: 0001019056-22-000352 · aharon.xml · nonDerivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds

Disclosed balance after: 404,000

F1 · ownership.nature: Includes 402,000 previously reported as of June 25, 2021 in accordance with Form 4 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".

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