Purpura John

SEC source: 0001209191-23-052969 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,526

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.42 to $3.45 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0000899243-23-016240 · doc4.xml · derivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,813

Underlying: Common Stock · 59,813 shares

Expires 2033-06-12

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on July 12, 2023 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0001415889-24-001866 · form4-01262024_090127.xml · derivative · entry 1

Purpura John · CIK 0001485555 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,160

Underlying: Common Stock · 56,160 shares

Expires 2033-02-08

F1 · derivative.exercise_date: The option will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month with the first such vesting to occur on February 8, 2023 and monthly thereafter for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan, as amended).

SEC source: 0000899243-22-018540 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,021

SEC source: 0000899243-22-014435 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,721

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

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,198

Underlying: Common Stock · 46,198 shares

Expires 2032-02-08

F1 · derivative.exercise_date: The option shares will vest and become exercisable in equal monthly installments over the 36-month period beginning on the grant date (1/36th will vest on the first day of each month during said 36-month period, with the first vesting date being March 1, 2022, for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan).

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

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2031-08-05

F1 · derivative.exercise_date: The option immediately vested with respect to four-thirty-sixths (4/36ths) of the option shares and the remaining option shares will vest and become exercisable at the rate of one-thirty-sixth (1/36th) per month on the first day of each month for the next thirty-two months, starting on September 1, 2021, for so long as the reporting person remains an employee of Delcath Systems, Inc. (and subject to the terms and conditions of the Delcath Systems, Inc. 2020 Omnibus Equity Incentive Plan).

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

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,713

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

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2030-10-01

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

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

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

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,713

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

Purpura John · CIK 0001485555 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,721

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

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

Purpura John · CIK 0001485555 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

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

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

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

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

Purpura John · CIK 0001485555 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,121

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

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

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

Purpura John · CIK 0001485555 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,621

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

Purpura John · CIK 0001485555 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,083,333

Underlying: Common Stock · 1,083,333 shares

Expires not disclosed

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

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

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

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

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

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

Purpura John · CIK 0001485555 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65

Underlying: Common Stock · 1,083,333 shares

Expires not disclosed

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

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

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

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

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

SEC source: 0000899243-19-002730 · doc4.xml · derivative · entry 1

Purpura John · CIK 0001485555 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2029-02-01

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

SEC source: 0000899243-18-027294 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,501

SEC source: 0000899243-17-017526 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · EVP, Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,398

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: 0000899243-17-003464 · doc4.xml · nonDerivative · entry 1

Purpura John · CIK 0001485555 · EVP, Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,628

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