SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
SALAMON STEVEN A J

(Last) (First) (Middle)
C/O ROSALIND ADVISORS, INC.
175 BLOOR STREET SUITE 1316, NORTH TOWER

(Street)
TORONTO A6 M5R 2L4

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/05/2020
3. Issuer Name and Ticker or Trading Symbol
DELCATH SYSTEMS, INC. [ DCTH ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) X Other (specify below)
See Remarks
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Shares 185,000 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds(2)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series E Convertible Preferred Stock (1) (1) Common Shares 16,800 10 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds(2)
Series E-1 Convertible Preferred Stock (1) (1) Common Shares 2,875 10 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds(2)
2019 Warrant 12/24/2019 12/24/2024 Common Shares 853,956 10 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds(2)
2020 pre-funded warrants 05/05/2020 05/05/2025 Common Shares 215,000 0.01 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds(2)
Series F Warrant 05/05/2020 05/05/2025 Common Shares 400,000 10 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds(2)
Explanation of Responses:
1. Each share of Series E & E-1 Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value").
2. The securities are held by Rosalind Opportunities Fund I L.P. and Rosalind Master Fund L.P., collectively, the "Rosalind Funds".
Remarks:
Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein.
/s/ Steven Salamon 05/13/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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