Form 4 for DCTH DELCATH SYSTEMS, INC.

Accepted 2023-08-21 00:00:00 ET · period of report 2023-08-18 · accession 0001209191-23-046672 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2023-08-21	2023-08-18	DCTH	MICHEL GERARD J	CEO, Dir	X - OptEx	$4.50	+31.1K	228.3K	+16%	+$140.0K
D	2023-08-21	2023-08-18	DCTH	MICHEL GERARD J	CEO, Dir	X - OptEx	$0.13	-31.1K	0	-100%	-$4,044

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2023-08-18	X	A	31,110	$4.50	228,345	D	—	—
2	Derivative	Tranche A Warrants to Purchase Common Stock	2023-08-18	X	D	31,110	$0.13	0	D	$4.50 · 2023-03-29 to —	31,110 Common Stock	(F3) The common stock and Tranche A and Tranche B Warrants were acquired in the issuer's private placement of common stock and warrants, issued as part of a unit. The per unit purchase price was $5.09, including a purchase price of $4.84 per share of common stock and $0.125 for each of the Tranche A and Tranche B Warrants. Each unit consisted of one share of common stock and an accompanying common stock warrant valued at 140% of the aggregate purchase price (the Tranche A Warrant) and an accompanying common stock warrant valued at 100% of the aggregate purchase price (the Tranche B Warrant). (F1) The Tranche A Warrants are immediately exercisable. (F2) The Tranche A Warrants expire the earlier of (i) twenty-one (21) days following the date of the Issuer's public announcement of its receipt of written approval from the U.S. Food and Drug Administration of its New Drug Application for HEPZATO (the "FDA Approval") and (ii) March 31, 2026.