0001415889-24-014666.txt : 20240528 0001415889-24-014666.hdr.sgml : 20240528 20240528162356 ACCESSION NUMBER: 0001415889-24-014666 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240523 FILED AS OF DATE: 20240528 DATE AS OF CHANGE: 20240528 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STOLL ROGER G PHD CENTRAL INDEX KEY: 0001191281 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16133 FILM NUMBER: 24992210 MAIL ADDRESS: STREET 1: 3260 WHIPPLE ROAD CITY: UNION CITY STATE: CA ZIP: 94587 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DELCATH SYSTEMS, INC. CENTRAL INDEX KEY: 0000872912 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] ORGANIZATION NAME: 08 Industrial Applications and Services IRS NUMBER: 061245881 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 566 QUEENSBURY AVENUE CITY: QUEENSBURY STATE: NY ZIP: 12804 BUSINESS PHONE: (518) 743-8892 MAIL ADDRESS: STREET 1: 566 QUEENSBURY AVENUE CITY: QUEENSBURY STATE: NY ZIP: 12804 FORMER COMPANY: FORMER CONFORMED NAME: DELCATH SYSTEMS INC DATE OF NAME CHANGE: 19990607 4 1 form4-05282024_080551.xml X0508 4 2024-05-23 0000872912 DELCATH SYSTEMS, INC. DCTH 0001191281 STOLL ROGER G PHD C/O DELCATH SYSTEMS, INC. 566 QUEENSBURY AVENUE QUEENSBURY NY 12804 true false false false 0 Stock Option (Right to Buy) 196.70 2024-05-23 4 D 0 142 0 D 2029-02-01 Common Stock 142 0 D Stock Option (Right to Buy) 196.70 2024-05-23 4 A 0 142 0 A 2026-05-23 Common Stock 142 142 D Stock Option (Right to Buy) 11.67 2024-05-23 4 D 0 40000 0 D 2030-10-01 Common Stock 40000 0 D Stock Option (Right to Buy) 11.67 2024-05-23 4 A 0 40000 0 A 2026-05-23 Common Stock 40000 40000 D Stock Option (Right to Buy) 10.16 2024-05-23 4 D 0 9000 0 D 2031-08-05 Common Stock 9000 0 D Stock Option (Right to Buy) 10.16 2024-05-23 4 A 0 9000 0 A 2026-05-23 Common Stock 9000 9000 D Stock Option (Right to Buy) 6.24 2024-05-23 4 D 0 9000 0 D 2023-05-04 Common Stock 9000 0 D Stock Option (Right to Buy) 6.24 2024-05-23 4 A 0 9000 0 A 2026-05-23 Common Stock 9000 9000 D Stock Option (Right to Buy) 7.25 2024-05-23 4 D 0 19682 0 D 2033-06-12 Common Stock 19682 0 D Stock Option (Right to Buy) 7.25 2024-05-23 4 A 0 19682 0 A 2026-05-23 Common Stock 19682 19682 D This option was previously reported as covering 100,000 shares at an exercise price of $0.281 per share, but was adjusted to reflect the stock split that occurred on December 24, 2019. The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 1, 2019 and is fully vested. The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 23, 2020 and is fully vested. The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 5, 2021 and is fully vested. The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on May 4, 2022 and is fully vested. The two reported transactions involved an amendment of an outstanding option to extend the post-termination exercise period, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 12, 2023 and is fully vested. /s/ David Hoffman, Attorney-in-Fact 2024-05-28