0000899243-19-020494.txt : 20190726 0000899243-19-020494.hdr.sgml : 20190726 20190726212949 ACCESSION NUMBER: 0000899243-19-020494 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190715 FILED AS OF DATE: 20190726 DATE AS OF CHANGE: 20190726 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Simpson Jennifer K. CENTRAL INDEX KEY: 0001545253 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16133 FILM NUMBER: 19979216 MAIL ADDRESS: STREET 1: C/O DELCATH SYSTEMS, INC. STREET 2: 810 SEVENTH AVENUE, SUITE 3505 CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DELCATH SYSTEMS, INC. CENTRAL INDEX KEY: 0000872912 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 061245881 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1633 BROADWAY STREET 2: SUITE 22C CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (212) 489-2100 MAIL ADDRESS: STREET 1: 1633 BROADWAY STREET 2: SUITE 22C CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: DELCATH SYSTEMS INC DATE OF NAME CHANGE: 19990607 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-07-15 0 0000872912 DELCATH SYSTEMS, INC. DCTH 0001545253 Simpson Jennifer K. C/O DELCATH SYSTEMS, INC., 1633 BROADWAY, SUITE 22C NEW YORK NY 10019 1 1 0 0 President and CEO Series E Convertible Preferred Stock 0.06 2019-07-15 4 P 0 147 1000.00 A Common Stock 2450000 147 D Common Stock Warrant (Right to Buy) 0.06 2019-07-15 4 P 0 2450000 A Common Stock 2450000 2450000 D 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. 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. 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 2,450,000 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. The Series E Convertible Preferred Stock has no expiration date. /s/ Barbra Keck, attorney-in-fact 2019-07-26