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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
872912	Delcath Systems Inc.	DCTH	Surgical & Medical Instruments & Apparatus (3841)	061245881

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1235644	J Gerard Michel	C/O Delcath Systems, Inc., 1633 Broadway, Suite 22C New York NY 10019	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2023-03-29	19,646	$4.84	197,235	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Tranche A Warrants to Purchase Common Stock	Acquisiton	2023-03-29	31,110	$0.13	31,110	$4.50
Common Stock	Tranche B Warrants to Purchase Common Stock	Acquisiton	2023-03-29	16,666	$0.13	16,666	$6.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
31,110	2023-03-29		No	4	P	Direct
16,666	2023-03-29		No	4	P	Direct

Footnotes

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).
The Tranche A Warrants and Tranche B Warrants are immediately exercisable.
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.
The Tranche B Warrants expire the earlier of (i) twenty-one (21) days following the date of the Issuer's public announcement of record at least $10,000,000 in quarterly U.S. revenue from the commercialization of HEPZATO and (ii) March 31, 2026, provided, however, if the FDA Approval occurs on or before February 15, 2024 and the Tranche A Warrants have not been exercised in full on or before March 7, 2024, then the Tranche B Warrants shall automatically expire on March 8, 2024.