DCTH

SEC source: 0001019056-22-000344 · 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: 429,500

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: 0001019056-22-000340 · 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: 427,500

F1 · ownership.nature: Includes 426,000 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: 0001019056-22-000334 · 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: 428,000

F1 · ownership.nature: Includes 423,500 previously reported as of December 30, 2021 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: 0001019056-22-000332 · 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: 425,000

F1 · ownership.nature: Includes 421,500 previously reported as of December 30, 2021 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: 0000899243-22-014435 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,721

SEC source: 0000899243-22-014377 · doc4.xml · nonDerivative · entry 2

MICHEL GERARD J · CIK 0001235644 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,050

SEC source: 0000899243-22-014377 · doc4.xml · nonDerivative · entry 1

MICHEL GERARD J · CIK 0001235644 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,050

SEC source: 0001019056-22-000323 · salamon.xml · nonDerivative · entry 2

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: 423,500

F1 · ownership.nature: Includes 421,500 previously reported as of December 30, 2021 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: 0001019056-22-000325 · salamon.xml · nonDerivative · entry 2

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: 423,500

F1 · ownership.nature: Includes 421,500 previously reported as of December 30, 2021 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: 0001019056-22-000322 · rosalind.xml · nonDerivative · entry 2

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: 425,500

F1 · ownership.nature: Includes 423,500 previously reported as of December 30, 2021 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: 0001019056-22-000323 · 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: 422,500

F1 · ownership.nature: Includes 421,500 previously reported as of December 30, 2021 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: 0001019056-22-000325 · 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: 422,500

F1 · ownership.nature: Includes 421,500 previously reported as of December 30, 2021 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: 0001019056-22-000322 · 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: 424,500

F1 · ownership.nature: Includes 423,500 previously reported as of December 30, 2021 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: 0000899243-22-006662 · doc4.xml · derivative · entry 1

MICHEL GERARD J · CIK 0001235644 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,137

Underlying: Common Stock · 116,137 shares

Expires 2032-02-08

F1 · derivative.exercise_date: The option shares will vest and become exercisable in equal monthly installments over the 36-month period beginning on the grant date (1/36th will vest on the first day of each month during said 36-month period, with the first vesting date being March 1, 2022, 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).

SEC source: 0000899243-22-006654 · doc4.xml · derivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,198

Underlying: Common Stock · 46,198 shares

Expires 2032-02-08

F1 · derivative.exercise_date: The option shares will vest and become exercisable in equal monthly installments over the 36-month period beginning on the grant date (1/36th will vest on the first day of each month during said 36-month period, with the first vesting date being March 1, 2022, 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).

SEC source: 0001019056-22-000014 · salamon.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,500

F1 · ownership.direct: Includes 404,500 previously reported as of March 31, 2021 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.direct: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein.

SEC source: 0001019056-22-000012 · 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: 423,500

F1 · ownership.nature: Includes 416,000 previously reported as of June 30, 2021 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: 0001019056-22-000213 · salamon.xml · nonDerivative · 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: 2,000,000

F1 · balance_after: As previously reported, on August 6, 2021, the Issuer executed an agreement to amend an aggregate of $2,000 outstanding secured convertible notes payable to Rosalind Opportunities Fund I L.P. and Rosalind Master Fund L.P. to reduce the conversion price of the convertible notes to $1,198 per share of the Company's Series E Convertible Preferred Stock and extend the maturity date of the convertible notes to October 30, 2024.

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: 0000899243-21-046986 · doc4.xml · nonDerivative · entry 1

MICHEL GERARD J · CIK 0001235644 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,050

F1 · price: The price reported in Column 4 is a weighted average price rounded to the nearest hundredth. The shares were purchased in multiple transactions at prices ranging from $8.38 to $9.00, inclusive. The reporting person undertakes to provide to Delcath Systems, Inc., any securityholder of Delcath Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote.

SEC source: 0000899243-21-040597 · doc4.xml · derivative · entry 1

Padula Christine · CIK 0001815234 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-09-01

F1 · derivative.exercise_date: The option immediately vested and was exercisable with respect to four-thirty-sixths (4/36ths) of the option shares and the remaining option shares will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month on the first day of each month for the next thirty-two months, starting on September 1, 2021, 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).

SEC source: 0001019056-22-000209 · 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: 2,000,000

F1 · balance_after: As previously reported, on August 6, 2021, the Issuer executed an agreement to amend an aggregate of $2,000 outstanding secured convertible notes payable to Rosalind Opportunities Fund I L.P. and Rosalind Master Fund L.P. to reduce the conversion price of the convertible notes to $1,198 per share of the Company's Series E Convertible Preferred Stock and extend the maturity date of the convertible notes to October 30, 2024.

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: 0000899243-21-032169 · doc4.xml · derivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2031-08-05

F1 · derivative.exercise_date: The option immediately vested with respect to four-thirty-sixths (4/36ths) of the option shares and the remaining option shares will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month on the first day of each month for the next thirty-two months, starting on September 1, 2021, 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).

SEC source: 0000899243-21-032171 · 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 2031-08-05

F1 · derivative.exercise_date: The option immediately vested with respect to four-twelfths (4/12ths) of the option shares and the remaining option shares will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month for the next eight months, starting on September 1, 2021, 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).

SEC source: 0000899243-21-032164 · 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 2031-08-05

F1 · derivative.exercise_date: The option immediately vested with respect to four-twelfths (4/12ths) of the option shares and the remaining option shares will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month for the next eight months, starting on September 1, 2021, 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).

SEC source: 0000899243-21-032163 · 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 2031-08-05

F1 · derivative.exercise_date: The option immediately vested with respect to four-twelfths (4/12ths) of the option shares and the remaining option shares will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month for the next eight months, starting on September 1, 2021, 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).

SEC source: 0000899243-21-032162 · 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 2031-08-05

F1 · derivative.exercise_date: The option immediately vested with respect to four-twelfths (4/12ths) of the option shares and the remaining option shares will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month for the next eight months, starting on September 1, 2021, 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).

SEC source: 0000899243-21-032157 · 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 2031-08-05

F1 · derivative.exercise_date: The option immediately vested with respect to four-twelfths (4/12ths) of the option shares and the remaining option shares will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month for the next eight months, starting on September 1, 2021, 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).

SEC source: 0000899243-21-032156 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2031-08-05

F1 · derivative.exercise_date: The option immediately vested with respect to four-thirty-sixths (4/36ths) of the option shares and the remaining option shares will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month on the first day of each month for the next thirty-two months, starting on September 1, 2021, 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).

SEC source: 0001019056-22-000211 · aharon.xml · nonDerivative · 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: 2,000,000

F1 · balance_after: As previously reported, on August 6, 2021, the Issuer executed an agreement to amend an aggregate of $2,000 outstanding secured convertible notes payable to Rosalind Opportunities Fund I L.P. and Rosalind Master Fund L.P. to reduce the conversion price of the convertible notes to $1,198 per share of the Company's Series E Convertible Preferred Stock and extend the maturity date of the convertible notes to October 30, 2024.

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: 0001019056-21-000397 · salamon.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 419,500

F1 · ownership.direct: Includes 414,000 previously reported as of June 28, 2021 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.direct: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein.

SEC source: 0001019056-21-000395 · 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: 421,500

F1 · ownership.nature: Includes 416,000 previously reported as of June 28, 2021 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: 0000899243-21-026501 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,850

F1 · price: The price reported in Column 4 is a weighted average price rounded to the nearest hundredth. The shares purchased on June 25, 2021 were purchased in multiple transactions at prices ranging from $11.4915 to $11.24, inclusive. The shares purchased on June 28, 2021 were purchased in multiple transactions at prices ranging from $12.25 to $11.67, inclusive. The reporting person undertakes to provide to Delcath Systems, Inc., any securityholder of Delcath Systems, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote.

SEC source: 0001019056-21-000391 · salamon.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,000

F1 · ownership.direct: Includes 409,000 previously reported as of June 28, 2021 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.direct: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein.

SEC source: 0001019056-21-000389 · 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: 416,000

F1 · ownership.nature: Includes 406,500 previously reported as of June 25, 2021 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: 0001019056-21-000393 · 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: 416,000

F1 · ownership.nature: Includes 406,500 previously reported as of June 25, 2021 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: 0000899243-21-026501 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,600

F1 · price: The price reported in Column 4 is a weighted average price rounded to the nearest hundredth. The shares purchased on June 25, 2021 were purchased in multiple transactions at prices ranging from $11.4915 to $11.24, inclusive. The shares purchased on June 28, 2021 were purchased in multiple transactions at prices ranging from $12.25 to $11.67, inclusive. The reporting person undertakes to provide to Delcath Systems, Inc., any securityholder of Delcath Systems, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote.

SEC source: 0001019056-21-000381 · rosalind.xml · derivative · entry 4

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: 1,137

Underlying: Common Stock · 112,244 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 · derivative.exercise_price: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F2 · kind: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F2 · derivative.exercise_date: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F2 · derivative.expiration_date: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F3 · ownership.nature: Rosalind Opportunities Fund I L.P., by its General Partner, converted 7,561 Series E Preferred Stock and 1,122 Series E-1 Preferred Stock on a 100-for-1 basis over a 3-day period for a total of 877,379 Delcath Systems, Inc. Common Stock. In conjunction with the conversion, the Reporting Person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. All rights and ownership of the converted common shares are transferred to its partners immediately following the conversion.

SEC source: 0001019056-21-000381 · rosalind.xml · nonDerivative · entry 2

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: 406,500

F3 · kind: Rosalind Opportunities Fund I L.P., by its General Partner, converted 7,561 Series E Preferred Stock and 1,122 Series E-1 Preferred Stock on a 100-for-1 basis over a 3-day period for a total of 877,379 Delcath Systems, Inc. Common Stock. In conjunction with the conversion, the Reporting Person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. All rights and ownership of the converted common shares are transferred to its partners immediately following the conversion.

F1 · price: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F4 · ownership.nature: Includes 406,500 previously reported as of March 31, 2021 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".

F5 · 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: 0001019056-21-000379 · aharon.xml · derivative · entry 4

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: 1,137

Underlying: Common Stock · 112,244 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 · derivative.exercise_price: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F2 · kind: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F2 · derivative.exercise_date: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F2 · derivative.expiration_date: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F3 · ownership.nature: Rosalind Opportunities Fund I L.P., by its General Partner, converted 7,561 Series E Preferred Stock and 1,122 Series E-1 Preferred Stock on a 100-for-1 basis over a 3-day period for a total of 877,379 Delcath Systems, Inc. Common Stock. In conjunction with the conversion, the Reporting Person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. All rights and ownership of the converted common shares are transferred to its partners immediately following the conversion.

SEC source: 0001019056-21-000379 · aharon.xml · nonDerivative · entry 2

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: 402,000

F3 · kind: Rosalind Opportunities Fund I L.P., by its General Partner, converted 7,561 Series E Preferred Stock and 1,122 Series E-1 Preferred Stock on a 100-for-1 basis over a 3-day period for a total of 877,379 Delcath Systems, Inc. Common Stock. In conjunction with the conversion, the Reporting Person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. All rights and ownership of the converted common shares are transferred to its partners immediately following the conversion.

F1 · price: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F4 · ownership.nature: Includes 402,000 previously reported as of March 31, 2021 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".

F5 · 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: 0001019056-21-000377 · salamon.xml · derivative · entry 4

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: 1,137

Underlying: Common Stock · 112,244 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 · derivative.exercise_price: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F2 · kind: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F2 · derivative.exercise_date: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F2 · derivative.expiration_date: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F3 · ownership.nature: Rosalind Opportunities Fund I L.P., by its General Partner, converted 7,561 Series E Preferred Stock and 1,122 Series E-1 Preferred Stock on a 100-for-1 basis over a 3-day period for a total of 877,379 Delcath Systems, Inc. Common Stock. In conjunction with the conversion, the Reporting Person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. All rights and ownership of the converted common shares are transferred to its partners immediately following the conversion.

SEC source: 0001019056-21-000377 · salamon.xml · nonDerivative · entry 2

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: 404,500

F3 · kind: Rosalind Opportunities Fund I L.P., by its General Partner, converted 7,561 Series E Preferred Stock and 1,122 Series E-1 Preferred Stock on a 100-for-1 basis over a 3-day period for a total of 877,379 Delcath Systems, Inc. Common Stock. In conjunction with the conversion, the Reporting Person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. All rights and ownership of the converted common shares are transferred to its partners immediately following the conversion.

F1 · price: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F4 · ownership.nature: Includes 404,500 previously reported as of March 31, 2021 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".

F5 · 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: 0001019056-21-000385 · salamon.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 409,000

F1 · ownership.direct: Includes 404,500 previously reported as of March 31, 2021 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.direct: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein.

SEC source: 0001019056-21-000381 · rosalind.xml · derivative · entry 3

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: 2,749

Underlying: Common Stock · 756,135 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_price: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F1 · kind: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F3 · ownership.nature: Rosalind Opportunities Fund I L.P., by its General Partner, converted 7,561 Series E Preferred Stock and 1,122 Series E-1 Preferred Stock on a 100-for-1 basis over a 3-day period for a total of 877,379 Delcath Systems, Inc. Common Stock. In conjunction with the conversion, the Reporting Person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. All rights and ownership of the converted common shares are transferred to its partners immediately following the conversion.

SEC source: 0001019056-21-000381 · 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: 406,500

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 · price: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F2 · price: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F5 · 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: 0001019056-21-000379 · aharon.xml · derivative · entry 3

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: 2,749

Underlying: Common Stock · 756,135 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_price: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F1 · kind: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F3 · ownership.nature: Rosalind Opportunities Fund I L.P., by its General Partner, converted 7,561 Series E Preferred Stock and 1,122 Series E-1 Preferred Stock on a 100-for-1 basis over a 3-day period for a total of 877,379 Delcath Systems, Inc. Common Stock. In conjunction with the conversion, the Reporting Person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. All rights and ownership of the converted common shares are transferred to its partners immediately following the conversion.

SEC source: 0001019056-21-000379 · aharon.xml · nonDerivative · 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: 402,000

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 · price: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F2 · price: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis.

F5 · 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: 0001019056-21-000377 · salamon.xml · derivative · entry 3

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: 2,749

Underlying: Common Stock · 756,135 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_price: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F1 · kind: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F1 · derivative.exercise_date: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F1 · derivative.expiration_date: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F3 · ownership.nature: Rosalind Opportunities Fund I L.P., by its General Partner, converted 7,561 Series E Preferred Stock and 1,122 Series E-1 Preferred Stock on a 100-for-1 basis over a 3-day period for a total of 877,379 Delcath Systems, Inc. Common Stock. In conjunction with the conversion, the Reporting Person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. All rights and ownership of the converted common shares are transferred to its partners immediately following the conversion.

SEC source: 0001019056-21-000377 · salamon.xml · nonDerivative · 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: 404,500

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 · price: The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F2 · price: The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis and had no expiration date.

F5 · 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: 0000899243-21-019464 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,713