Simpson Jennifer K.

SEC source: 0001437749-24-030616 · rdgdoc.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,800

Underlying: Common Stock · 72,800 shares

Expires 2034-10-01

F1 · derivative.exercise_date: The option fully vests on October 1, 2025, subject to the Reporting Person's continuous service with the Issuer as of the vesting date.

SEC source: 0001493152-24-004139 · ownership.xml · derivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2034-01-14

F1 · derivative.exercise_date: The stock options vested 50% on the date of grant and the remainder vests in substantially equal installments each month for a period of three (3) years from the date of grant.

SEC source: 0001437749-23-008422 · rdgdoc.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,383

Underlying: Common Stock · 99,383 shares

Expires 2033-03-27

F1 · derivative.exercise_date: The option fully vests on March 20, 2024, subject to the Reporting Person's continuous service with the Issuer as of the vesting date.

SEC source: 0001209191-23-017705 · doc4.xml · derivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,253

Underlying: Common Stock · 16,253 shares

Expires 2033-03-07

F1 · derivative.exercise_date: The option fully vests on March 7, 2024, subject to the Reporting Person's continuous service with the Issuer as of the vesting date.

SEC source: 0001437749-23-002264 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,888

Underlying: Common Stock · 8,888 shares

Expires 2028-01-30

F2 · derivative.exercise_price: On or after March 1, 2023, holder may elect an "alternative cashless exercise" pursuant to which they would receive an aggregate number of shares of common stock equal to 75% of the aggregate number of shares that would be issuable upon a cash exercise.

SEC source: 0001437749-23-002264 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,868

F1 · price: Reported securities purchased as one share of common stock and one warrant to purchase two shares of common stock for a combined price of $2.25 per share and warrant.

SEC source: 0001209191-22-015017 · doc4.xml · derivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,200

Underlying: Common Stock · 11,200 shares

Expires 2032-02-28

F1 · derivative.exercise_date: The option fully vests on February 28, 2023, subject to the Reporting Person's continuous service with the Issuer as of the vesting date.

SEC source: 0001493152-21-031814 · ownership.xml · nonDerivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0001493152-22-000985 · ownership.xml · derivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · security: The purpose of this Amendment is to report the stock appreciation rights granted to the reporting person on December 15, 2021, which were inadvertently excluded from the original Form 4. The stock appreciation rights will vest in full on the first anniversary of December 15, 2021, provided that the reporting person is still a service provider of CytRx Corporation on such date.

F2 · derivative.expiration_date: No expiration date.

SEC source: 0001437749-21-022213 · rdgdoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,125

Underlying: Common Stock · 19,125 shares

Expires 2031-09-13

F1 · derivative.exercise_date: The stock option is schedule to vest in three equal annual installments on September 13, 2022, 2023 and 2024.

SEC source: 0001437749-21-007952 · rdgdoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,000

Underlying: Common Stock · 170,000 shares

Expires 2031-03-30

F1 · derivative.exercise_date: The stock option is exercisable in three substantially equal installments on the first, second and third anniversaries of the date of grant (March 30, 2022, 2023 and 2024).

SEC source: 0001209191-21-007818 · doc4.xml · derivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,500

Underlying: Common Stock · 13,500 shares

Expires 2031-02-02

F1 · derivative.exercise_date: The option fully vests on February 2, 2022, subject to the Reporting Person's continuous service with the Issuer as of the vesting date.

SEC source: 0001437749-20-019686 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,424

SEC source: 0001437749-20-019143 · rdgdoc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,424

Underlying: Common Stock · 2,424 shares

Expires 2025-09-01

F1 · price: Reported securities purchased as one share of common stock and one warrant to purchase one share of common stock for a combined price of $4.125 per share and warrant.

SEC source: 0001437749-20-019143 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,424

F1 · price: Reported securities purchased as one share of common stock and one warrant to purchase one share of common stock for a combined price of $4.125 per share and warrant.

SEC source: 0001437749-20-015352 · rdgdoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,048

Underlying: Common Stock · 212,048 shares

Expires 2030-07-15

F1 · derivative.exercise_date: Immediately exercisable as to 25% of the shares and scheduled to vest with respect to 25% of the shares on each of July 15, 2021, July 15, 2022 and July 15, 2023.

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: 0000899243-20-012462 · 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: 0001209191-20-002356 · doc4.xml · derivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-01-04

F1 · derivative.exercise_date: The option fully vests on January 5, 2021, subject to the Reporting Person's continuous service with the Issuer as of the vesting date.

SEC source: 0001209191-19-052905 · doc4.xml · derivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-10-08

F1 · derivative.exercise_date: The option vests over a period of three years, in 36 equal monthly installments commencing on the one-month anniversary of August 28, 2019, subject to the Reporting Person's continuous service with the Issuer as of the vesting date

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: 0000899243-19-002727 · doc4.xml · derivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · Director, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2029-02-01

F1 · derivative.exercise_date: The stock options vest in equal amounts of 29,166 options for 11 consecutive months commencing on the one month anniversary of the grant date, and the balance of the options (29,174) vesting on the 12 month anniversary of the grant date. Options are immediately exercisable upon vesting.

SEC source: 0000899243-18-027290 · doc4.xml · nonDerivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

SEC source: 0000899243-18-021260 · doc4.xml · nonDerivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101

SEC source: 0000899243-17-017527 · doc4.xml · nonDerivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,908

F1 · kind: Represents shares withheld and disposed of by the issuer's equity plan administrator to satisfy withholding taxes due in connection with the vesting of shares underlying a previously disclosed equity award.

SEC source: 0000899243-17-003466 · doc4.xml · nonDerivative · entry 1

Simpson Jennifer K. · CIK 0001545253 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,376

F1 · security: Consists of a restricted share award. The shares are subject to vesting on the first anniversary of the date of grant.