DCTH

SEC source: 0000899243-21-014744 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.58 to $13.00, 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: 0001019056-21-000226 · salamon.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 404,500

F1 · balance_after: Includes 189,500 previously reported as of November 17, 2020 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".

F1 · ownership.direct: Includes 189,500 previously reported as of November 17, 2020 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".

F1 · ownership.nature: Includes 189,500 previously reported as of November 17, 2020 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: 0001019056-21-000224 · 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

F1 · balance_after: Includes 191,500 previously reported as of November 17, 2020 in accordance with Form 3 filing indirectly owned 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".

F1 · ownership.direct: Includes 191,500 previously reported as of November 17, 2020 in accordance with Form 3 filing indirectly owned 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".

F1 · ownership.nature: Includes 191,500 previously reported as of November 17, 2020 in accordance with Form 3 filing indirectly owned 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: 0001019056-21-000222 · aharon.xml · nonDerivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 402,000

F1 · balance_after: Includes 187,000 previously reported as of November 16, 2020 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".

F1 · ownership.direct: Includes 187,000 previously reported as of November 16, 2020 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".

F1 · ownership.nature: Includes 187,000 previously reported as of November 16, 2020 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: 0000899243-20-033719 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · shares: The shares were purchased in a confidentially marketed public offering pursuant to an underwriting agreement. The offering closed on December 11, 2020.

F1 · price: The shares were purchased in a confidentially marketed public offering pursuant to an underwriting agreement. The offering closed on December 11, 2020.

SEC source: 0000899243-20-032206 · doc4.xml · derivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-10-01

F1 · date: The stock option was awarded on October 1, 2020 pursuant to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The Plan was approved by the stockholders of Delcath Systems, Inc. (the "Company") on November 23, 2020.

F2 · derivative.exercise_date: The option vests ratably over the 36-month period beginning on October 1, 2020, provided that the reporting person remains a director of the Company as of each such vesting date. The option is exercisable immediately upon vesting.

SEC source: 0000899243-20-032204 · doc4.xml · derivative · entry 1

Padula Christine · CIK 0001815234 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-10-01

F1 · date: The stock option was awarded on October 1, 2020 pursuant to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The Plan was approved by the stockholders of Delcath Systems, Inc. (the "Company") on November 23, 2020.

F2 · derivative.exercise_date: The option vests ratably over the 36-month period beginning on October 1, 2020, provided that the reporting person remains an employee of the Company as of each such vesting date. The option is exercisable immediately upon vesting.

SEC source: 0000899243-20-032201 · doc4.xml · derivative · entry 1

CZEREPAK ELIZABETH · CIK 0001263500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-10-01

F1 · date: The stock option was awarded on October 1, 2020 pursuant to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The Plan was approved by the stockholders of Delcath Systems, Inc. (the "Company") on November 23, 2020.

F2 · derivative.exercise_date: The option vests ratably over the 36-month period beginning on October 1, 2020, provided that the reporting person remains a director of the Company as of each such vesting date. The option is exercisable immediately upon vesting.

SEC source: 0000899243-20-032198 · doc4.xml · derivative · entry 1

Sylvester John Richard · CIK 0001784561 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-10-01

F1 · date: The stock option was awarded on October 1, 2020 pursuant to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The Plan was approved by the stockholders of Delcath Systems, Inc. (the "Company") on November 23, 2020.

F2 · derivative.exercise_date: The option vests ratably over the 36-month period beginning on October 1, 2020, provided that the reporting person remains a director of the Company as of each such vesting date. The option is exercisable immediately upon vesting.

SEC source: 0000899243-20-032188 · doc4.xml · derivative · entry 1

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2030-10-01

F1 · date: The stock option was awarded on October 1, 2020 pursuant to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The Plan was approved by the stockholders of Delcath Systems, Inc. (the "Company") on November 23, 2020.

F2 · derivative.exercise_date: The option vests ratably over the 36-month period beginning on October 1, 2020, provided that the reporting person remains a director of the Company as of each such vesting date. The option is exercisable immediately upon vesting.

SEC source: 0000899243-20-032195 · doc4.xml · derivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-10-01

F1 · date: The stock option was awarded on October 1, 2020 pursuant to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The Plan was approved by the stockholders of Delcath Systems, Inc. (the "Company") on November 23, 2020.

F2 · derivative.exercise_date: The option vests ratably over the 36-month period beginning on October 1, 2020, provided that the reporting person remains a director of the Company as of each such vesting date. The option is exercisable immediately upon vesting.

SEC source: 0000899243-20-032191 · doc4.xml · derivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2030-10-01

F1 · date: The stock option was awarded on October 1, 2020 pursuant to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan (the "Plan"), subject to shareholder approval of the Plan. The Plan was approved by the stockholders of Delcath Systems, Inc. (the "Company") on November 23, 2020.

F2 · derivative.exercise_date: The option vests ratably over the 36-month period beginning on October 1, 2020, provided that the reporting person remains an employee of the Company as of each such vesting date. The option is exercisable immediately upon vesting.

SEC source: 0000899243-20-031799 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,713

SEC source: 0000899243-22-013801 · doc4a.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,721

F1 · balance_after: This Form 4 amends a Form 4 filed by John Purpura on November 20, 2020, which, as a result of an addition error, erroneously reported in Table 1, Column 5 that the amount of securities beneficially owned by Mr. Purpura following the reported transaction was 14,713, rather than 14,721. A subsequent Form 4 filed by Mr. Purpura on May 14, 2021 continued the same 8 share error in Column 5 of Table 1. As a consequence, 18,713 shares, rather than 18,721 (reflecting the correct number of shares beneficially owned), were reported as directly owned by Mr. Purpura following the transaction reported in the Form 4 filed on May 14, 2021.

SEC source: 0001019056-20-000577 · salamon.xml · nonDerivative · entry 1

SALAMON STEVEN A J · CIK 0001623082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,500

F1 · balance_after: Includes 185,000 previously reported as of May 13, 2020 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".

F1 · ownership.direct: Includes 185,000 previously reported as of May 13, 2020 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: 0001019056-20-000579 · 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: 191,500

F1 · balance_after: Includes 185,000 previously reported as of May 13, 2020 in accordance with Form 3 filing indirectly owned 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".

F1 · ownership.direct: Includes 185,000 previously reported as of May 13, 2020 in accordance with Form 3 filing indirectly owned 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".

F1 · ownership.nature: Includes 185,000 previously reported as of May 13, 2020 in accordance with Form 3 filing indirectly owned 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: 0001019056-20-000571 · aharon.xml · nonDerivative · entry 1

Aharon Gil · CIK 0001811824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,000

F1 · balance_after: Includes 185,000 previously reported as of May 13, 2020 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".

F1 · ownership.direct: Includes 185,000 previously reported as of May 13, 2020 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: 0001019056-20-000569 · 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: 187,000

F1 · balance_after: Includes 185,000 previously reported as of May 13, 2020 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".

F1 · ownership.direct: Includes 185,000 previously reported as of May 13, 2020 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".

F1 · ownership.nature: Includes 185,000 previously reported as of May 13, 2020 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: 0001019056-20-000573 · 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: 189,000

F1 · balance_after: Includes 185,000 previously reported as of May 13, 2020 in accordance with Form 3 filing indirectly owned 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".

F1 · ownership.direct: Includes 185,000 previously reported as of May 13, 2020 in accordance with Form 3 filing indirectly owned 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".

F1 · ownership.nature: Includes 185,000 previously reported as of May 13, 2020 in accordance with Form 3 filing indirectly owned 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: 0000899243-20-027378 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 498,000

Underlying: Common Stock · 498,000 shares

Expires 2020-10-01

F1 · derivative.exercise_price: The option was granted by Delcath Systems, Inc. (the "Issuer") as an inducement material to the reporting person's entering into employment with the Issuer in accordance with Nasdaq Listing Rule 5635(c)(4). The option will be exercisable at a price of (i) $11.67 per share as to the first 396,000 shares to vest, (ii) $17.505 as to the next 51,000 shares to vest and (iii) $23.34 as to the remaining 51,000 shares to vest.

F2 · derivative.exercise_date: The option will vest ratably over thirty-six months, provided that the reporting person remains employed by the Issuer on each vesting date.

SEC source: 0000899243-20-012464 · doc4.xml · derivative · entry 3

Purpura John · CIK 0001485555 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,500 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_price: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.expiration_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.underlying_shares: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

SEC source: 0000899243-20-012464 · doc4.xml · nonDerivative · entry 2

Purpura John · CIK 0001485555 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,121

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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F2 · balance_after: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019.

SEC source: 0000899243-20-012462 · doc4.xml · derivative · entry 3

Simpson Jennifer K. · CIK 0001545253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,700 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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.expiration_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.underlying_shares: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

SEC source: 0000899243-20-012462 · doc4.xml · nonDerivative · entry 2

Simpson Jennifer K. · CIK 0001545253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,021

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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F2 · balance_after: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019.

SEC source: 0000899243-20-012461 · doc4.xml · derivative · entry 3

Keck Barbra · CIK 0001464238 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,800 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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.expiration_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.underlying_shares: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

SEC source: 0000899243-20-012461 · doc4.xml · nonDerivative · entry 2

Keck Barbra · CIK 0001464238 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,851

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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F2 · balance_after: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019.

SEC source: 0000899243-20-012457 · doc4.xml · derivative · entry 3

Taglietti Marco · CIK 0001408870 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.expiration_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.underlying_shares: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

SEC source: 0000899243-20-012457 · doc4.xml · nonDerivative · entry 1

Taglietti Marco · CIK 0001408870 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F2 · balance_after: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019.

SEC source: 0000899243-20-012454 · doc4.xml · derivative · entry 2

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,300 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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.expiration_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.underlying_shares: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

SEC source: 0000899243-20-012454 · doc4.xml · nonDerivative · entry 1

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,309

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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F2 · balance_after: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019.

SEC source: 0000899243-20-012449 · doc4.xml · derivative · entry 2

Rueckert William Dodge · CIK 0001380016 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.expiration_date: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F1 · derivative.underlying_shares: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

SEC source: 0000899243-20-012449 · doc4.xml · nonDerivative · entry 1

Rueckert William Dodge · CIK 0001380016 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,014

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: Each share of the Series E Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). On May 8, 2020, reporting person converted the Series E Preferred Stock into that number of shares of Delcath Systems Inc. common stock determined by dividing the Stated Value by the conversion price of $10.00.

F2 · balance_after: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019.

SEC source: 0000899243-20-012464 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,621

SEC source: 0000899243-20-012462 · doc4.xml · nonDerivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,321

F2 · balance_after: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019.

SEC source: 0000899243-20-012461 · doc4.xml · nonDerivative · entry 1

Keck Barbra · CIK 0001464238 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,051

F2 · balance_after: Reflects a one-for-seven hundred (1:700) reverse stock split effected on December 24, 2019.

SEC source: 0000899243-19-020490 · doc4.xml · derivative · entry 2

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,550,000

Underlying: Common Stock · 1,550,000 shares

Expires not disclosed

F3 · derivative.exercise_price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,550,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F2 · kind: The reporting person purchased the securities in exchange for forgiveness of the compensation owed to him for the period ending December 31, 2018. The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F3 · price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,550,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.exercise_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,550,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.expiration_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,550,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020490 · doc4.xml · derivative · entry 1

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93

Underlying: Common Stock · 1,550,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F2 · kind: The reporting person purchased the securities in exchange for forgiveness of the compensation owed to him for the period ending December 31, 2018. The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F2 · price: The reporting person purchased the securities in exchange for forgiveness of the compensation owed to him for the period ending December 31, 2018. The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F4 · derivative.expiration_date: The Series E Convertible Preferred Stock has no expiration date.

F3 · derivative.underlying_shares: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,550,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020496 · doc4.xml · derivative · entry 2

Rueckert William Dodge · CIK 0001380016 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F3 · derivative.exercise_price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,000,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F3 · price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,000,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.exercise_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,000,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.expiration_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,000,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020496 · doc4.xml · derivative · entry 1

Rueckert William Dodge · CIK 0001380016 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F4 · derivative.expiration_date: The Series E Convertible Preferred Stock has no expiration date.

F3 · derivative.underlying_shares: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,000,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020492 · doc4.xml · derivative · entry 2

Keck Barbra · CIK 0001464238 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,113,333

Underlying: Common Stock · 1,113,333 shares

Expires not disclosed

F3 · derivative.exercise_price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,113,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F3 · price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,113,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.exercise_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,113,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.expiration_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,113,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020492 · doc4.xml · derivative · entry 1

Keck Barbra · CIK 0001464238 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68

Underlying: Common Stock · 1,113,333 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F4 · derivative.expiration_date: The Series E Convertible Preferred Stock has no expiration date.

F3 · derivative.underlying_shares: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,113,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020494 · doc4.xml · derivative · entry 2

Simpson Jennifer K. · CIK 0001545253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,450,000

Underlying: Common Stock · 2,450,000 shares

Expires not disclosed

F3 · derivative.exercise_price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 2,450,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F3 · price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 2,450,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.exercise_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 2,450,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.expiration_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 2,450,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020494 · doc4.xml · derivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147

Underlying: Common Stock · 2,450,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F4 · derivative.expiration_date: The Series E Convertible Preferred Stock has no expiration date.

F3 · derivative.underlying_shares: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 2,450,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020491 · doc4.xml · derivative · entry 2

Taglietti Marco · CIK 0001408870 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F3 · derivative.exercise_price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,000,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F3 · price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,000,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.exercise_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,000,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.expiration_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,000,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020491 · doc4.xml · derivative · entry 1

Taglietti Marco · CIK 0001408870 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F4 · derivative.expiration_date: The Series E Convertible Preferred Stock has no expiration date.

F3 · derivative.underlying_shares: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,000,000 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020488 · doc4.xml · derivative · entry 2

Purpura John · CIK 0001485555 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,083,333

Underlying: Common Stock · 1,083,333 shares

Expires not disclosed

F3 · derivative.exercise_price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,083,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F3 · price: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,083,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.exercise_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,083,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

F3 · derivative.expiration_date: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,083,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-020488 · doc4.xml · derivative · entry 1

Purpura John · CIK 0001485555 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65

Underlying: Common Stock · 1,083,333 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F2 · kind: The purchase was made in a private (PIPE) transaction with the issuer in which the issuer sold Series E Convertible Preferred Stock and warrants. The transactions contemplated by the PIPE transaction were reported on a current report on Form 8-K filed with the SEC by the issuer on each of July 11, 2019 and July 22, 2019.

F1 · derivative.exercise_date: Each share of the Series E Convertible Preferred Stock, par value of $0.01 per share, has a stated value of $1,000 (the "Stated Value") and is convertible at any time at the option of the holder into the number of shares of Delcath common stock determined by dividing the Stated Value by the conversion price of $0.06, subject to certain limitations and adjustments contemplated within the Certificate of Designation.

F4 · derivative.expiration_date: The Series E Convertible Preferred Stock has no expiration date.

F3 · derivative.underlying_shares: The warrant was included together with the purchase of Series E Convertible Preferred Stock purchased by the reporting person for $1,000 per share. The purchase of shares of Series E Convertible Preferred Stock was accompanied by a right to purchase 16,666.67 shares of common stock for an aggregate of 1,083,333 shares of common stock. The exercise price of each share under the warrant is $0.06, subject to adjustment in accordance with the terms of the warrant and is exercisable at any time from the date that the issuer effects a reverse stock split through 5:00 p.m. (NYC time) on the fifth anniversary of the date of the reverse stock split.

SEC source: 0000899243-19-002741 · doc4.xml · derivative · entry 1

Pedder Simon · CIK 0001316736 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-02-01

F1 · derivative.exercise_date: The stock options vest in equal amounts of 8,333 options for 11 consecutive months commencing on the one month anniversary of the grant date, and the balance of the options (8,337) vesting on the 12 month anniversary of the grant date. Options are immediately exercisable upon vesting.

SEC source: 0000899243-19-002734 · doc4.xml · derivative · entry 1

Rueckert William Dodge · CIK 0001380016 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-02-01

F1 · derivative.exercise_date: The stock options vest in equal amounts of 8,333 options for 11 consecutive months commencing on the one month anniversary of the grant date, and the balance of the options (8,337) vesting on the 12 month anniversary of the grant date. Options are immediately exercisable upon vesting.

SEC source: 0000899243-19-002733 · doc4.xml · derivative · entry 1

Keck Barbra · CIK 0001464238 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2029-02-01

F1 · derivative.exercise_date: The stock options vest in equal amounts of 20,833 options for 11 consecutive months commencing on the one month anniversary of the grant date, and the balance of the options (20,837) vesting on the 12 month anniversary of the grant date. Options are immediately exercisable upon vesting.