0001019056-21-000381.txt : 20210625
0001019056-21-000381.hdr.sgml : 20210625
20210625192929
ACCESSION NUMBER: 0001019056-21-000381
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: Rosalind Advisors, Inc.
CENTRAL INDEX KEY: 0001622627
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16133
FILM NUMBER: 211049583
BUSINESS ADDRESS:
STREET 1: 175 BLOOR STREET EAST
STREET 2: SUITE 1316, NORTH TOWER
CITY: TORONTO
STATE: A6
ZIP: M4W 3R8
BUSINESS PHONE: 4168887606
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
rosalind.xml
FORM 3
X0306
4
2021-06-23
0
0000872912
DELCATH SYSTEMS, INC.
DCTH
0001622627
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
406500
I
By Rosalind Advisors, Inc., the advisor to the Rosalind Funds
Common Shares
2021-06-24
4
J
0
877379
D
406500
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 406,500 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/ Steven Salamon, President, Rosalind Advisors, Inc.
2021-06-25