STOLL ROGER G PHD

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 10

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,682

Underlying: Common Stock · 19,682 shares

Expires 2026-05-23

F6 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 12, 2023 and is fully vested.

F6 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 12, 2023 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 9

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,682 shares

Expires 2033-06-12

F6 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 12, 2023 and is fully vested.

F6 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 12, 2023 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 8

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2026-05-23

F5 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 4, 2022 and is fully vested.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 4, 2022 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 7

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,000 shares

Expires 2023-05-04

F5 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 4, 2022 and is fully vested.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 4, 2022 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 6

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2026-05-23

F4 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 5, 2021 and is fully vested.

F4 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 5, 2021 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 5

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,000 shares

Expires 2031-08-05

F4 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 5, 2021 and is fully vested.

F4 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 5, 2021 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 4

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-05-23

F3 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 23, 2020 and is fully vested.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 23, 2020 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 3

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2030-10-01

F3 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 23, 2020 and is fully vested.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 23, 2020 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 2

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 142

Underlying: Common Stock · 142 shares

Expires 2026-05-23

F2 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 1, 2019 and is fully vested.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 1, 2019 and is fully vested.

SEC source: 0001415889-24-014666 · form4-05282024_080551.xml · derivative · entry 1

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 142 shares

Expires 2029-02-01

F1 · derivative.exercise_price: This option was previously reported as covering 100,000 shares at an exercise price of $0.281 per share, but was adjusted to reflect the stock split that occurred on December 24, 2019.

F2 · kind: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 1, 2019 and is fully vested.

F1 · shares: This option was previously reported as covering 100,000 shares at an exercise price of $0.281 per share, but was adjusted to reflect the stock split that occurred on December 24, 2019.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 1, 2019 and is fully vested.

F1 · derivative.underlying_shares: This option was previously reported as covering 100,000 shares at an exercise price of $0.281 per share, but was adjusted to reflect the stock split that occurred on December 24, 2019.

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

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,682

Underlying: Common Stock · 19,682 shares

Expires 2033-06-12

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-twelfth (1/12th) per month with the first such vesting to occur on July 12, 2023 and monthly thereafter for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

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

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2023-05-04

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

SEC source: 0000899243-21-032164 · doc4.xml · derivative · entry 1

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2031-08-05

F1 · derivative.exercise_date: The option immediately vested with respect to four-twelfths (4/12ths) of the option shares and the remaining option shares will vest and become exercisable at the rate of one-twelfth (1/12th) per month on the first day of each month for the next eight months, starting on September 1, 2021, for so long as the reporting person remains a director of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan).

SEC source: 0000899243-20-032188 · 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: 0000899243-20-012454 · 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: 0000899243-19-020490 · 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: 0000899243-19-002729 · doc4.xml · derivative · entry 1

STOLL ROGER G PHD · CIK 0001191281 · 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: 0000899243-18-027293 · doc4.xml · nonDerivative · entry 1

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,901

SEC source: 0000899243-18-021302 · doc4.xml · nonDerivative · entry 3

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,001

SEC source: 0000899243-18-021302 · doc4.xml · nonDerivative · entry 2

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 902

SEC source: 0000899243-18-021302 · doc4.xml · nonDerivative · entry 1

STOLL ROGER G PHD · CIK 0001191281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 501