0001209191-23-046672.txt : 20230821 0001209191-23-046672.hdr.sgml : 20230821 20230821120538 ACCESSION NUMBER: 0001209191-23-046672 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230818 FILED AS OF DATE: 20230821 DATE AS OF CHANGE: 20230821 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MICHEL GERARD J CENTRAL INDEX KEY: 0001235644 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16133 FILM NUMBER: 231188168 MAIL ADDRESS: STREET 1: 420 CHIPETA WAY CITY: SALT LAKE CITY STATE: UT ZIP: 84108 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 X0508 4 2023-08-18 0 0000872912 DELCATH SYSTEMS, INC. DCTH 0001235644 MICHEL GERARD J C/O DELCATH SYSTEMS, INC. 1633 BROADWAY, SUITE 22C NEW YORK NY 10019 1 1 0 0 Chief Executive Officer 0 Common Stock 2023-08-18 4 X 0 31110 4.50 A 228345 D Tranche A Warrants to Purchase Common Stock 4.50 2023-08-18 4 X 0 31110 0.125 D 2023-03-29 Common Stock 31110 0 D The Tranche A 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 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). /s/ Gerard Michel 2023-08-22