Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DELCATH SYSTEMS, INC.DCTH · Entity 5387 | Director | October 13, 2026 | October 14, 2026 |
| Neuraxis, INCNRXS · Entity 6994 | Director | August 13, 2026 | August 17, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
DELCATH SYSTEMS, INC.
Report date October 13, 2026 · Filed October 14, 2026
Jointly reported with Rosalind Advisors, Inc., SALAMON STEVEN A J
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Rosalind Advisors Inc., the advisor to the Rosalind Funds | 3,417,095 |
Reported balance
After 2026-10-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-10-13 · Conversion · Acquired 3,627 · Balance 3,417,095 F2: Rosalind Opportunities Fund I L.P. converted 36.27 shares of Series E Preferred Stock to acquire 3,627 common shares. F1: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein |
| Common StockSEC Table I · non-derivative | IndirectBy Rosalind Advisors Inc., the advisor to the Rosalind Funds | 3,389,593 |
Reported balance
After 2026-10-13 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2026-10-13 · Other · Disposed 27,502 · Balance 3,389,593 F3: Shares distributed in kind by Rosalind Opportunities Fund I L.P. to limited partners in satisfaction of redemption requests, for no consideration. F1: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein |
| Series E preferredSEC Table II · derivative / convertible security · Conversion / exercise price $10.00 | IndirectEach Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or | 9,112.38 |
Reported balance
After 2026-10-13 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-10-13 · Conversion · Disposed 36.27 · Balance 9,112.38 F2: Rosalind Opportunities Fund I L.P. converted 36.27 shares of Series E Preferred Stock to acquire 3,627 common shares. F4: The Series E Preferred Stock has no expiration date and is immediately convertible. F1: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein |
Filing footnotes · ownership attribution and instrument terms
F1: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein
F2: Rosalind Opportunities Fund I L.P. converted 36.27 shares of Series E Preferred Stock to acquire 3,627 common shares.
F3: Shares distributed in kind by Rosalind Opportunities Fund I L.P. to limited partners in satisfaction of redemption requests, for no consideration.
F4: The Series E Preferred Stock has no expiration date and is immediately convertible.
Neuraxis, INC
Report date August 13, 2026 · Filed August 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 80,058 |
Ending reported balance
After 2026-08-13 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-07-29 · Grant · Acquired 2,226 · Balance 36,128 F1: The number of shares of common stock issued as a dividend on the Series B Preferred Stock to Rosalind Master Fund L.P. and the Reporting Person were 40,068 and 2,226, respectively, and was determined by dividing the accrued and unpaid 8.5% cumulative dividends on the respective Series B Preferred Stock (from the investment date, through the applicable record or conversion date) by $2.38. Row 2 · 2026-08-13 · Grant · Acquired 43,930 · Balance 80,058 F2: These shares of common stock were issued to the reporting person as compensation for services as independent director of the Issuer. |
| Common StockSEC Table I · non-derivative | IndirectBy Rosalind Advisors, Inc., the advisor to the Rosalind Master Fund L.P. | 548,123 |
Reported balance
After 2026-07-29 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2026-07-29 · Grant · Acquired 40,068 · Balance 548,123 F1: The number of shares of common stock issued as a dividend on the Series B Preferred Stock to Rosalind Master Fund L.P. and the Reporting Person were 40,068 and 2,226, respectively, and was determined by dividing the accrued and unpaid 8.5% cumulative dividends on the respective Series B Preferred Stock (from the investment date, through the applicable record or conversion date) by $2.38. F3: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The number of shares of common stock issued as a dividend on the Series B Preferred Stock to Rosalind Master Fund L.P. and the Reporting Person were 40,068 and 2,226, respectively, and was determined by dividing the accrued and unpaid 8.5% cumulative dividends on the respective Series B Preferred Stock (from the investment date, through the applicable record or conversion date) by $2.38.
F2: These shares of common stock were issued to the reporting person as compensation for services as independent director of the Issuer.
F3: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 13, 2026 Filed Oct 14, 2026 18:44 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionSeries E preferred · Derivative | 36.27 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001622627-26-000026 · primary_doc.xml · derivative · entry 3 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or Disclosed balance after: 9,112.38 Underlying: Common Shares · 3,627 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: Rosalind Opportunities Fund I L.P. converted 36.27 shares of Series E Preferred Stock to acquire 3,627 common shares. F4 · derivative.exercise_date: The Series E Preferred Stock has no expiration date and is immediately convertible. F4 · derivative.expiration_date: The Series E Preferred Stock has no expiration date and is immediately convertible. F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| October 13, 2026 Filed Oct 14, 2026 18:44 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherCommon Stock | 27,502 | $0.00 | $0.00 |
DisclosureSEC source: 0001622627-26-000026 · primary_doc.xml · nonDerivative · entry 2 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Funds Disclosed balance after: 3,389,593 F3 · shares: Shares distributed in kind by Rosalind Opportunities Fund I L.P. to limited partners in satisfaction of redemption requests, for no consideration. F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| October 13, 2026 Filed Oct 14, 2026 18:44 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionCommon Stock | 3,627 | $0.00 | $0.00 |
DisclosureSEC source: 0001622627-26-000026 · primary_doc.xml · nonDerivative · entry 1 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Funds Disclosed balance after: 3,417,095 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: Rosalind Opportunities Fund I L.P. converted 36.27 shares of Series E Preferred Stock to acquire 3,627 common shares. F2 · balance_after: Rosalind Opportunities Fund I L.P. converted 36.27 shares of Series E Preferred Stock to acquire 3,627 common shares. F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| August 13, 2026 Filed Aug 17, 2026 22:23 UTC | Neuraxis, INC NRXS · Entity 6994 | GrantCommon Stock | 43,930 | $6.28 | $275,880.40 |
DisclosureSEC source: 0001493152-26-038815 · ownership.xml · nonDerivative · entry 2 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 80,058 F2 · shares: These shares of common stock were issued to the reporting person as compensation for services as independent director of the Issuer. F2 · price: These shares of common stock were issued to the reporting person as compensation for services as independent director of the Issuer. Read SEC document |
| July 29, 2026 Filed Aug 17, 2026 22:23 UTC | Neuraxis, INC NRXS · Entity 6994 | GrantCommon Stock | 40,068 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-26-038815 · ownership.xml · nonDerivative · entry 3 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Master Fund L.P. Disclosed balance after: 548,123 F1 · shares: The number of shares of common stock issued as a dividend on the Series B Preferred Stock to Rosalind Master Fund L.P. and the Reporting Person were 40,068 and 2,226, respectively, and was determined by dividing the accrued and unpaid 8.5% cumulative dividends on the respective Series B Preferred Stock (from the investment date, through the applicable record or conversion date) by $2.38. F1 · price: The number of shares of common stock issued as a dividend on the Series B Preferred Stock to Rosalind Master Fund L.P. and the Reporting Person were 40,068 and 2,226, respectively, and was determined by dividing the accrued and unpaid 8.5% cumulative dividends on the respective Series B Preferred Stock (from the investment date, through the applicable record or conversion date) by $2.38. F3 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| July 29, 2026 Filed Aug 17, 2026 22:23 UTC | Neuraxis, INC NRXS · Entity 6994 | GrantCommon Stock | 2,226 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-26-038815 · ownership.xml · nonDerivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,128 F1 · shares: The number of shares of common stock issued as a dividend on the Series B Preferred Stock to Rosalind Master Fund L.P. and the Reporting Person were 40,068 and 2,226, respectively, and was determined by dividing the accrued and unpaid 8.5% cumulative dividends on the respective Series B Preferred Stock (from the investment date, through the applicable record or conversion date) by $2.38. F1 · price: The number of shares of common stock issued as a dividend on the Series B Preferred Stock to Rosalind Master Fund L.P. and the Reporting Person were 40,068 and 2,226, respectively, and was determined by dividing the accrued and unpaid 8.5% cumulative dividends on the respective Series B Preferred Stock (from the investment date, through the applicable record or conversion date) by $2.38. Read SEC document |
| May 13, 2026 Filed May 14, 2026 21:45 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantStock Option (right to buy) · Derivative | 22,500 | $0.00 Strike: $11.61 | $0.00 |
DisclosureSEC source: 0001811824-26-000003 · form4-05142026_050501.xml · derivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires not disclosed F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service. F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 13, 2026 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service. Read SEC document |
| April 28, 2026 Filed Apr 30, 2026 23:17 UTC | Neuraxis, INC NRXS · Entity 6994 | GrantCommon Stock | 221,917 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-26-020778 · ownership.xml · nonDerivative · entry 2 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Master Fund L.P. Disclosed balance after: 508,055 F3 · price: The number of shares of common stock issued as a dividend on the Series B Preferred Stock to Rosalind Master Fund L.P. and the Reporting Person were 221,917 and 12,304, respectively, and was determined by dividing the accrued and unpaid 8.5% cumulative dividends on the respective Series B Preferred Stock (from the investment date, through the applicable record or conversion date) by $2.38. F2 · balance_after: Includes (1) 286,138 shares of common stock purchased by Rosalind Master Fund L.P. in which the Reporting Person has indirect ownership as previously disclosed, and (2) 221,917 shares of common stock issued as a dividend on the Series B Preferred Stock owned by Rosalind Master Fund L.P. F4 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| April 28, 2026 Filed Apr 30, 2026 23:17 UTC | Neuraxis, INC NRXS · Entity 6994 | GrantCommon Stock | 12,304 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-26-020778 · ownership.xml · nonDerivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,902 F3 · price: The number of shares of common stock issued as a dividend on the Series B Preferred Stock to Rosalind Master Fund L.P. and the Reporting Person were 221,917 and 12,304, respectively, and was determined by dividing the accrued and unpaid 8.5% cumulative dividends on the respective Series B Preferred Stock (from the investment date, through the applicable record or conversion date) by $2.38. F1 · balance_after: Includes (1) 21,598 shares of common stock issued to the Reporting Person as previously disclosed, and (2) 12,304 shares of common stock issued to the Reporting Person as a dividend on the Series B Preferred Stock owned by the Reporting Person. Read SEC document |
| January 22, 2026 Filed Jan 30, 2026 23:31 UTC | Neuraxis, INC NRXS · Entity 6994 | GrantCommon Shares | 21,598 | $4.63 | $99,998.74 |
DisclosureSEC source: 0001493152-26-004590 · ownership.xml · nonDerivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 307,736 F2 · price: 21,598 shares of common stock were issued to the Reporting Person as compensation for services as independent director of the Issuer. F1 · balance_after: Includes (1) 286,138 shares of common stock owned by Rosalind Master Fund L.P., and (2) 21,598 shares of common stock issued to the Reporting Person as compensation for services as an independent director of the Issuer. Read SEC document |
| December 23, 2025 Filed Dec 29, 2025 22:12 UTC | Neuraxis, INC NRXS · Entity 6994 | PurchaseCommon Shares | 286,138 | $3.52 | $1,007,205.76 |
DisclosureSEC source: 0001811824-25-000002 · primary_doc.xml · nonDerivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Master Fund L.P. Disclosed balance after: 286,138 F1 · shares: Rosalind Master Fund L.P. purchased 286,138 common shares at $3.52 F2 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| May 15, 2025 Filed May 19, 2025 20:10 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantStock Option (right to buy) · Derivative | 22,500 | $0.00 Strike: $16.05 | $0.00 |
DisclosureSEC source: 0001415889-25-013613 · form4-05192025_040505.xml · derivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires not disclosed F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service. F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 15, 2025 and monthly thereafter for so long as the reporting person remains a director of the Issuer (and subject to the terms and conditions of the Issuer's 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service. Read SEC document |
| May 05, 2025 Filed May 9, 2025 17:00 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherCommon shares | 400,000 | $10.00 | $4,000,000.00 |
DisclosureSEC source: 0001622627-25-000020 · primary_doc.xml · nonDerivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Funds Disclosed balance after: 3,413,468 F1 · shares: Rosalind Opportunities Fund I L.P. exercised warrants to aquire 400,000 common shares. F2 · balance_after: Rosalind Master Fund L.P. - 1,565,844, Rosalind Opportunities Fund I L.P. - 1,734,545, Steven Salamon - 82,197, Gilad Aharon - 30,882 F3 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| May 05, 2025 Filed May 9, 2025 16:15 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherCommon shares | 400,000 | $10.00 | $4,000,000.00 |
DisclosureSEC source: 0001622627-25-000018 · primary_doc.xml · nonDerivative · entry 1 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Funds Disclosed balance after: 3,413,468 F2 · shares: Rosalind Opportunities Fund I L.P. exercised warrants to aquire 400,000 common shares. F3 · balance_after: Rosalind Master Fund L.P. - 1,565,844, Rosalind Opportunities Fund I L.P. - 1,734,545, Steven Salamon - 82,197, Gilad Aharon - 30,882 F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| December 24, 2024 Filed Dec 26, 2024 20:23 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | Exercise / conversionPre-funded Warrants · Derivative | 603,954 | $9.99 Strike: $0.01 | $6,033,500.46 |
DisclosureSEC source: 0001622627-24-000065 · primary_doc.xml · derivative · entry 2 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 1,323,919 Underlying: DELCATH SYSTEMS, INC. · 603,954 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Converted a total of 853,954 Series E/E-1 warrants to 603,954 Pre-funded Warrants at $9.99 and 250,000 common shares at $10.00. F3 · derivative.exercise_date: NA F3 · derivative.expiration_date: NA F2 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| December 24, 2024 Filed Dec 26, 2024 20:23 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionCommon shares | 250,000 | $10.00 | $2,500,000.00 |
DisclosureSEC source: 0001622627-24-000065 · primary_doc.xml · nonDerivative · entry 1 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Fund Disclosed balance after: 3,013,468 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Converted a total of 853,954 Series E/E-1 warrants to 603,954 Pre-funded Warrants at $9.99 and 250,000 common shares at $10.00. F2 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| December 24, 2024 Filed Dec 26, 2024 20:36 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | Exercise / conversionPre-funded Warrants · Derivative | 603,954 | $9.99 Strike: $0.01 | $6,033,500.46 |
DisclosureSEC source: 0001811824-24-000006 · primary_doc.xml · derivative · entry 2 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 1,323,919 Underlying: DELCATH SYSTEMS, INC. · 603,954 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Converted a total of 853,954 Series E/E-1 warrants to 603,954 Pre-funded Warrants at $9.99 and 250,000 common shares at $10.00. F3 · derivative.exercise_date: NA F3 · derivative.expiration_date: NA F2 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| December 24, 2024 Filed Dec 26, 2024 20:36 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionCommon shares | 250,000 | $10.00 | $2,500,000.00 |
DisclosureSEC source: 0001811824-24-000006 · primary_doc.xml · nonDerivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 3,013,468 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Converted a total of 853,954 Series E/E-1 warrants to 603,954 Pre-funded Warrants at $9.99 and 250,000 common shares at $10.00. F2 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| October 30, 2024 Filed Nov 1, 2024 19:47 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | Other8% CONVERTIBLE NOTE · Derivative | 0 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001811824-24-000004 · primary_doc.xml · derivative · entry 2 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 0 Underlying: CASH · Not disclosed shares Expires not disclosed F4 · derivative.exercise_date: N/A F4 · derivative.expiration_date: N/A F5 · derivative.underlying: Delcath repaid the DELCATH SYSTEM - 8% CONVERTIBLE NOTE in full with cash of $1,423,333. F3 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| October 30, 2024 Filed Nov 1, 2024 19:47 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | Exercise / conversionTranche B warrants to purchase F-4 Preferred Stock · Derivative | 500 | $1,000.00 Strike: $1,000.00 | $500,000.00 |
DisclosureSEC source: 0001811824-24-000004 · primary_doc.xml · derivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 0 Underlying: F-4 PREFERRED STOCK · 500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Immediately exercisable F2 · derivative.expiration_date: The Tranche B Warrants expire the earlier of (i) twenty-one (21) days following the date of the Issuer's public announcement of record at least $10,000,000 in quarterly U.S. revenue from the commercialization of HEPZATO and (ii) March 31, 2026. The Issuer announced on October 17, 2024 that it had recorded at least $10,000,000 in quarterly U.S. revenue from the commercialization of HEPZATO and therefore such Tranche B Warrants expire on November 7, 2024. F3 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| October 30, 2024 Filed Nov 1, 2024 19:07 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | Other8% CONVERTIBLE NOTE · Derivative | 0 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001622627-24-000059 · primary_doc.xml · derivative · entry 2 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 0 Underlying: CASH · Not disclosed shares Expires not disclosed F5 · derivative.exercise_date: N/A F5 · derivative.expiration_date: N/A F4 · derivative.underlying: Delcath repaid the DELCATH SYSTEM - 8% CONVERTIBLE NOTE in full with cash of $1,423,333. F3 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| October 30, 2024 Filed Nov 1, 2024 19:07 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | Exercise / conversionTranche B warrants to purchase F-4 Preferred Stock · Derivative | 500 | $1,000.00 Strike: $1,000.00 | $500,000.00 |
DisclosureSEC source: 0001622627-24-000059 · primary_doc.xml · derivative · entry 1 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 0 Underlying: F-4 PREFERRED STOCK · 500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Immediately exercisable F2 · derivative.expiration_date: The Tranche B Warrants expire the earlier of (i) twenty-one (21) days following the date of the Issuer's public announcement of record at least $10,000,000 in quarterly U.S. revenue from the commercialization of HEPZATO and (ii) March 31, 2026. The Issuer announced on October 17, 2024 that it had recorded at least $10,000,000 in quarterly U.S. revenue from the commercialization of HEPZATO and therefore such Tranche B Warrants expire on November 7, 2024. F3 · ownership.nature: Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| May 23, 2024 Filed May 28, 2024 20:30 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantStock Option (right to buy) · Derivative | 22,500 | $0.00 Strike: $7.85 | $0.00 |
DisclosureSEC source: 0001415889-24-014674 · form4-05282024_080507.xml · derivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires not disclosed F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service. F1 · derivative.expiration_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on May 23, 2024 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended). The option will expire the earlier of 10 years from the grant date or, for vested options, two years from the last day of service. Read SEC document |
| April 18, 2024 Filed May 16, 2024 18:05 UTC Amendment | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionCommon Shares | 991,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001811824-24-000003 · primary_doc.xml · nonDerivative · entry 2 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Master Funds Disclosed balance after: 2,681,271 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: 991,615 Common shares are acquired via conversion of 1,065 F-2 preferred shares and 3,010 F-3 preferred shares. F2 · ownership.nature: Reporting Person disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| April 18, 2024 Filed May 16, 2024 18:05 UTC Amendment | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherCommon Shares | 619,946 | $0.01 | $6,199.46 |
DisclosureSEC source: 0001811824-24-000003 · primary_doc.xml · nonDerivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Master Funds Disclosed balance after: 2,681,271 F1 · shares: 619,946 common shares acquired via exercise of pre-funded warrants at $0.01 F2 · ownership.nature: Reporting Person disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| April 18, 2024 Filed May 16, 2024 17:49 UTC Amendment | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionCommon Shares | 991,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001622627-24-000030 · primary_doc.xml · nonDerivative · entry 2 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Master Funds Disclosed balance after: 2,763,468 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: 991,615 Common shares are acquired via conversion of 1,065 F-2 preferred shares and 3,010 F-3 preferred shares F2 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| April 18, 2024 Filed May 16, 2024 17:49 UTC Amendment | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherCommon Shares | 619,946 | $0.01 | $6,199.46 |
DisclosureSEC source: 0001622627-24-000030 · primary_doc.xml · nonDerivative · entry 1 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Master Funds Disclosed balance after: 2,763,468 F1 · shares: 619,946 common shares acquired via exercise of pre-funded warrants at $0.01 F2 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| April 18, 2024 Filed May 16, 2024 17:09 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionCommon Shares | 991,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001811824-24-000002 · primary_doc.xml · nonDerivative · entry 2 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Master Funds Disclosed balance after: 2,681,271 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: 991,615 Common shares are acquired via conversion of 1,065 F-2 preferred shares and 3,010 F-3 preferred shares. F2 · ownership.nature: Reporting Person disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| April 18, 2024 Filed May 16, 2024 17:09 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherCommon Shares | 619,946 | $6,199.46 | $3,843,330,429.16 |
DisclosureSEC source: 0001811824-24-000002 · primary_doc.xml · nonDerivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Master Funds Disclosed balance after: 2,681,271 F1 · shares: 619,946 common shares acquired via exercise of pre-funded warrants at $0.01 F2 · ownership.nature: Reporting Person disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| April 18, 2024 Filed May 16, 2024 16:45 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionCommon Shares | 991,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001622627-24-000029 · primary_doc.xml · nonDerivative · entry 2 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Master Funds Disclosed balance after: 2,763,468 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: 991,615 Common shares are acquired via conversion of 1,065 F-2 preferred shares and 3,010 F-3 preferred shares. F2 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| April 18, 2024 Filed May 16, 2024 16:45 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherCommon Shares | 619,946 | $6,199.46 | $3,843,330,429.16 |
DisclosureSEC source: 0001622627-24-000029 · primary_doc.xml · nonDerivative · entry 1 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Master Funds Disclosed balance after: 2,763,468 F1 · shares: 619,946 common shares acquired via exercise of pre-funded warrants at $0.01 F2 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein Read SEC document |
| March 19, 2024 Filed Mar 21, 2024 00:00 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchaseCommon Shares | 26,882 | $3.72 | $100,001.04 |
DisclosureSEC source: 0001811824-24-000001 · primary_doc.xml · nonDerivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,069,710 F1 · balance_after: Includes 1,038,828 previously reported as of November 28, 2023 in accordance with Form 13D/A filing indirectly owned by the Reporting Person as Officer(s) of Rosalind Advisors, Inc., the advisor to Rosalind Opportunities Fund I L.P. and Rosalind Master Fund L.P., collectively, the "Rosalind Funds". Read SEC document |
| March 19, 2024 Filed Mar 20, 2024 23:07 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchasePre-funded Warrants · Derivative | 619,946 | $3.71 Strike: $0.01 | $2,299,999.66 |
DisclosureSEC source: 0001622627-24-000017 · primary_doc.xml · derivative · entry 1 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors Inc., the advisor to the Rosalind Master Funds Disclosed balance after: 836,133 Underlying: Delcath Systems, Inc. Common Shares · 619,946 shares Expires 2034-03-19 F1 · derivative.expiration_date: Remain exercisable until exercised in full. F2 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| November 17, 2023 Filed Nov 21, 2023 16:07 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchaseCommon Shares | 100,000 | $2.40 | $240,410.00 |
DisclosureSEC source: 0001622627-23-000032 · primary_doc.xml · nonDerivative · entry 1 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 1,038,828 F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| August 21, 2023 Filed Aug 22, 2023 22:19 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherTranche A Warrant · Derivative | Not disclosed | $1,000.00 Strike: $1,000.00 | $3,010,000.00 |
DisclosureSEC source: 0001622627-23-000017 · primary_doc.xml · derivative · entry 1 Rosalind Advisors, Inc. · CIK 0001622627 · Director Aharon Gil · CIK 0001811824 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 0 Underlying: Series F-3 Convertible Preferred Stock · 3,010 shares Expires 2023-09-04 F2 · derivative.underlying: Each F-3 Preferred is convertible into DELCATH SYSTEMS, Inc. Common Stock at $4.50 per share F1 · ownership.direct: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 12, 2023 Filed Jun 22, 2023 21:43 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantStock Option (Right to Buy) · Derivative | 19,682 | $0.00 Strike: $7.25 | $0.00 |
DisclosureSEC source: 0000899243-23-016270 · doc4.xml · derivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,682 Underlying: Common Stock · 19,682 shares Expires 2033-06-12 F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on July 12, 2023 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended). Read SEC document |
| April 18, 2023 Filed Apr 20, 2023 15:40 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherPre-Funded Warrant · Derivative | 538,828 | $5.63 Strike: $0.01 | $3,033,601.64 |
DisclosureSEC source: 0001622627-23-000010 · primary_doc.xml · derivative · entry 1 Rosalind Advisors, Inc. · CIK 0001622627 · Director SALAMON STEVEN A J · CIK 0001623082 · Director Aharon Gil · CIK 0001811824 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 719,965 Underlying: DELCATH SYSTEMS, INC. COMMON · 538,828 shares Expires 2032-07-20 F2 · derivative.expiration_date: The holder of the prefunded warrant is entitled to purchase the COMMON SHARES underlying the warrant from the initial exercise date UNTIL THIS Warrant is exercised in full as defined in the Form of Warrant. F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| December 13, 2022 Filed Dec 14, 2022 21:54 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchasePre-Funded Warrant · Derivative | 692,042 | $2.89 Strike: $0.01 | $2,000,001.38 |
DisclosureSEC source: 0001623082-22-000006 · primary_doc.xml · derivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 1,258,793 Underlying: DELCATH SYSTEMS, INC. COMMON · 692,042 shares Expires 2032-12-13 F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| July 18, 2022 Filed Jul 20, 2022 22:01 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchasePre-Funded Warrant · Derivative | 566,751 | $3.97 Strike: $0.01 | $2,250,001.47 |
DisclosureSEC source: 0001811824-22-000004 · primary_doc.xml · derivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 566,751 Underlying: DELCATH SYSTEMS, INC. COMMON · 566,751 shares Expires 2032-07-20 F1 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| May 04, 2022 Filed May 6, 2022 18:45 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantStock Option (Right to Buy) · Derivative | 9,000 | $0.00 Strike: $6.24 | $0.00 |
DisclosureSEC source: 0000899243-22-017059 · doc4.xml · derivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 shares Expires 2023-05-04 F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month, with the first such vesting to occur on June 1, 2022 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended). Read SEC document |
| April 18, 2022 Filed Apr 19, 2022 17:52 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchaseCommon Shares | 2,000 | $6.35 | $12,697.40 |
DisclosureSEC source: 0001019056-22-000352 · aharon.xml · nonDerivative · entry 1 Aharon Gil · CIK 0001811824 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds Disclosed balance after: 404,000 F1 · ownership.nature: Includes 402,000 previously reported as of June 25, 2021 in accordance with Form 4 filing indirectly owned by the Reporting Person as Officer(s) of Rosalind Advisors, Inc., the advisor to Rosalind Opportunities Fund I L.P. and Rosalind Master Fund L.P., collectively, the "Rosalind Funds". F2 · ownership.nature: Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| August 05, 2021 Filed Aug 9, 2021 20:28 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantStock Option (right to buy) · Derivative | 9,000 | $0.00 Strike: $10.16 | $0.00 |
DisclosureSEC 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). Read SEC document |
| August 05, 2021 Filed Feb 15, 2022 00:44 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherConvertible Note Payable | 2,000 | $1,198.00 | $2,396,000.00 |
DisclosureSEC 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. Read SEC document |
| June 24, 2021 Filed Jun 25, 2021 23:27 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionSeries E-1 Convertible Preferred Stock · Derivative | 1,122 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 24, 2021 Filed Jun 25, 2021 23:27 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherCommon Shares | 877,379 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| June 23, 2021 Filed Jun 25, 2021 23:27 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionSeries E Convertible Preferred Stock · Derivative | 7,561 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 23, 2021 Filed Jun 25, 2021 23:27 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | ConversionCommon Shares | 877,379 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| March 31, 2021 Filed Apr 1, 2021 20:22 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | OtherCommon Shares | 215,000 | $10.00 | $2,150,000.00 |
DisclosureSEC 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". Read SEC document |
| November 23, 2020 Filed Nov 25, 2020 23:06 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $11.67 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 16, 2020 Filed Nov 16, 2020 18:20 UTC | DELCATH SYSTEMS, INC. DCTH · Entity 5387 | PurchaseCommon Shares | 2,000 | $12.00 | $24,000.00 |
DisclosureSEC 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". Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.