0001019056-22-000209.txt : 20220214 0001019056-22-000209.hdr.sgml : 20220214 20220214182138 ACCESSION NUMBER: 0001019056-22-000209 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211230 FILED AS OF DATE: 20220214 DATE AS OF CHANGE: 20220214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rosalind Advisors, Inc. CENTRAL INDEX KEY: 0001622627 FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16133 FILM NUMBER: 22635780 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 5 1 rosalind.xml FORM 5 X0306 5 2021-12-30 0 0 1 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 Convertible Note Payable 2021-08-06 4 J 0 L 2000 1198 A 2000000 I By Rosalind Advisors, Inc., the advisor to the Rosalind Funds As previously reported, on August 6, 2021, the Issuer executed an agreement to amend an aggregate of $2,000 outstanding secured convertible notes payable to Rosalind Opportunities Fund I L.P. and Rosalind Master Fund L.P. to reduce the conversion price of the convertible notes to $1,198 per share of the Company's Series E Convertible Preferred Stock and extend the maturity date of the convertible notes to October 30, 2024. 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. 2022-02-14