0001019056-21-000379.txt : 20210625 0001019056-21-000379.hdr.sgml : 20210625 20210625192755 ACCESSION NUMBER: 0001019056-21-000379 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210623 FILED AS OF DATE: 20210625 DATE AS OF CHANGE: 20210625 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aharon Gil CENTRAL INDEX KEY: 0001811824 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16133 FILM NUMBER: 211049581 MAIL ADDRESS: STREET 1: 175 BLOOR STREET EAST STREET 2: SUITE 1316, NORTH TOWER CITY: TORONTO STATE: A6 ZIP: M4W 3R8 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 aharon.xml FORM 3 X0306 4 2021-06-23 0 0000872912 DELCATH SYSTEMS, INC. DCTH 0001811824 Aharon Gil C/O ROSALIND ADVISORS, INC. 175 BLOOR STREET SUITE 1316, NORTH TOWER TORONTO A6 M4W 3R8 ONTARIO, CANADA 1 0 0 0 Common Shares 2021-06-23 4 C 0 877379 A 402000 I By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Common Shares 2021-06-24 4 J 0 877379 D 402000 I By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Series E Convertible Preferred Stock 2021-06-23 4 C 0 7561 0 D Common Stock 756135 2749 I By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Series E-1 Convertible Preferred Stock 2021-06-24 4 C 0 1122 0 D Common Stock 112244 1137 I By Rosalind Advisors, Inc., the advisor to the Rosalind Funds The Series E Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis. The Series E-1 Convertible Preferred Stock converted into Delcath Systems, Inc. Common Stock on a 100-for-1 basis. Rosalind Opportunities Fund I L.P., by its General Partner, converted 7,561 Series E Preferred Stock and 1,122 Series E-1 Preferred Stock on a 100-for-1 basis over a 3-day period for a total of 877,379 Delcath Systems, Inc. Common Stock. In conjunction with the conversion, the Reporting Person undertook a pro-rata in-kind distribution of common shares to its limited partners and such pro-rata in-kind distribution is not a purchase or sale. All rights and ownership of the converted common shares are transferred to its partners immediately following the conversion. Includes 402,000 previously reported as of March 31, 2021 in accordance with Form 3 filing indirectly owned by the Reporting Person as Officer(s) of Rosalind Advisors, Inc., the advisor to 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/ Gil Aharon 2021-06-25