-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LXGbPmeBx9OWNm/6WQH1RK4xOdi2zLyD40YjH0TUG0IpEDhJjkXNRCRW0ye40IDz 2nLa/6/Fx7IMGkSJkTBNsA== 0000913355-03-000022.txt : 20030214 0000913355-03-000022.hdr.sgml : 20030214 20030214084214 ACCESSION NUMBER: 0000913355-03-000022 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HERSCHKOWITZ SAMUEL /FA/ CENTRAL INDEX KEY: 0001126964 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O DELCATH SYSTEMS INC STREET 2: 1100 SUMMER STREET CITY: STAMFORD STATE: CT ZIP: 06905 MAIL ADDRESS: STREET 1: 1100 SUMMER STREET CITY: STAMFORD STATE: CT ZIP: 06905 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DELCATH SYSTEMS INC CENTRAL INDEX KEY: 0000872912 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 061245881 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-60851 FILM NUMBER: 03562621 BUSINESS ADDRESS: STREET 1: 1100 SUMMER ST 3RD FLOOR CITY: STAMFORD STATE: CT ZIP: 06905 BUSINESS PHONE: 2033238668 MAIL ADDRESS: STREET 1: 1100 SUMMER STREET CITY: STAMFORD STATE: CT ZIP: 06905 SC 13G 1 schedule13g.txt SCHEDULE 13G FOR 12-31-2002 EVENT SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)(1) DELCATH SYSTEMS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 24661P104 - -------------------------------------------------------------------------------- (CUSIP Number) DECEMBER 31, 2002 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [_] Rule 13d-1(c) [X] Rule 13d-1(d) - ---------- (1) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 24661P104 13G Page 2 of 5 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Samuel Herschkowitz ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 178,074 _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 178,074 _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 178,074 ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.3% (See Note 1) ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* IN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! Note 1 - This percentage is based on 4,145,197 shares of common stock outstanding as of December 31, 2002 CUSIP No. 24661P104 13G Page 3 of 5 Pages Item 1(a). Name of Issuer: Delcath Systems, Inc., a Delaware corporation (the "Company") ____________________________________________________________________ Item 1(b). Address of Issuer's Principal Executive Offices: 1100 Summer Street, Stamford, Connecticut 06905 ____________________________________________________________________ Item 2(a). Name of Person Filing: Samuel Herschkowitz ____________________________________________________________________ Item 2(b). Address of Principal Business Office, or if None, Residence: 1100 Summer Street, Stamford, Connecticut 06905 ____________________________________________________________________ Item 2(c). Citizenship: UNITED STATES ____________________________________________________________________ Item 2(d). Title of Class of Securities: The title of the class of equity securities to which this statement relates is the shares of common stock, par value $0.01 per share, of the Company ____________________________________________________________________ Item 2(e). CUSIP Number: 24661P104 ____________________________________________________________________ Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [_] Broker or dealer registered under Section 15 of the Exchange Act. (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). CUSIP No.24661P104 13G Page 4 of 5 Pages Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 178,074 ______________________________________________________________________ (b) Percent of class: 4.3% ______________________________________________________________________ (c) Number of shares as to which such person has: 178,074 (i) Sole power to vote or to direct the vote_______________________, (ii) Shared power to vote or to direct the vote_____________________, 178,074 (iii) Sole power to dispose or to direct the disposition of__________, (iv) Shared power to dispose or to direct the disposition of________ Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities check the following [X]. _______________________________________________________________________ Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Not Applicable _______________________________________________________________________ Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not Applicable _______________________________________________________________________ Item 8. Identification and Classification of Members of the Group. Not Applicable _______________________________________________________________________ Item 9. Notice of Dissolution of Group. Not Applicable ______________________________________________________________________ Item 10. Certifications. Not Applicable ______________________________________________________________________ SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. 2/13/03 ---------------------------------------- (Date) /s/ SAMUEL HERSCHKOWITZ ---------------------------------------- (Signature) Chairman/Chief Technical Officer ---------------------------------------- (Name/Title) Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties for whom copies are to be sent. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----