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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy) | $ 196.7 (1) | 05/23/2024 | D(2) | 142 (1) | (2) | 02/01/2029 | Common Stock | 142 (1) | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 196.7 | 05/23/2024 | A(2) | 142 | (2) | 05/23/2026 | Common Stock | 142 | $ 0 | 142 | D | ||||
| Stock Option (Right to Buy) | $ 11.67 | 05/23/2024 | D(3) | 40,000 | (3) | 10/01/2030 | Common Stock | 40,000 | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 11.67 | 05/23/2024 | A(3) | 40,000 | (3) | 05/23/2026 | Common Stock | 40,000 | $ 0 | 40,000 | D | ||||
| Stock Option (Right to Buy) | $ 10.16 | 05/23/2024 | D(4) | 9,000 | (4) | 08/05/2031 | Common Stock | 9,000 | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 10.16 | 05/23/2024 | A(4) | 9,000 | (4) | 05/23/2026 | Common Stock | 9,000 | $ 0 | 9,000 | D | ||||
| Stock Option (Right to Buy) | $ 6.24 | 05/23/2024 | D(5) | 9,000 | (5) | 05/04/2023 | Common Stock | 9,000 | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 6.24 | 05/23/2024 | A(5) | 9,000 | (5) | 05/23/2026 | Common Stock | 9,000 | $ 0 | 9,000 | D | ||||
| Stock Option (Right to Buy) | $ 7.25 | 05/23/2024 | D(6) | 19,682 | (6) | 06/12/2033 | Common Stock | 19,682 | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 7.25 | 05/23/2024 | A(6) | 19,682 | (6) | 05/23/2026 | Common Stock | 19,682 | $ 0 | 19,682 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| STOLL ROGER G PHD C/O DELCATH SYSTEMS, INC. 566 QUEENSBURY AVENUE QUEENSBURY, NY 12804 |
X | |||
| /s/ David Hoffman, Attorney-in-Fact | 05/28/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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). |
| (1) | 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. |
| (2) | 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. |
| (3) | 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. |
| (4) | 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. |
| (5) | 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. |
| (6) | 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. |