0001019056-20-000333.txt : 20200513 0001019056-20-000333.hdr.sgml : 20200513 20200513213042 ACCESSION NUMBER: 0001019056-20-000333 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200505 FILED AS OF DATE: 20200513 DATE AS OF CHANGE: 20200513 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SALAMON STEVEN A J CENTRAL INDEX KEY: 0001623082 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16133 FILM NUMBER: 20875084 MAIL ADDRESS: STREET 1: 27 ADMIRAL ROAD CITY: TORONTO STATE: A6 ZIP: M5R 2L4 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 3 1 salamon.xml FORM 3 X0206 3 2020-05-05 0 0000872912 DELCATH SYSTEMS, INC. DCTH 0001623082 SALAMON STEVEN A J C/O ROSALIND ADVISORS, INC. 175 BLOOR STREET SUITE 1316, NORTH TOWER TORONTO A6 M5R 2L4 ONTARIO, CANADA 1 0 0 1 See Remarks Common Shares 185000 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds Series E Convertible Preferred Stock 10.00 Common Shares 16800 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds Series E-1 Convertible Preferred Stock 10.00 Common Shares 2875 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds 2019 Warrant 10.00 2019-12-24 2024-12-24 Common Shares 853956 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds 2020 pre-funded warrants 0.01 2020-05-05 2025-05-05 Common Shares 215000 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds Series F Warrant 10.00 2020-05-05 2025-05-05 Common Shares 400000 I By Individual as Officer of Rosalind Advisors, Inc., the advisor to the Rosalind Funds Each share of Series E & E-1 Convertible Preferred Stock has no expiration date and a stated value of $1,000 (the "Stated Value"). The securities are held by Rosalind Opportunities Fund I L.P. and Rosalind Master Fund L.P., collectively, the "Rosalind Funds". Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. /s/ Steven Salamon 2020-05-13