0001622627-23-000017.txt : 20230822 0001622627-23-000017.hdr.sgml : 20230822 20230822181918 ACCESSION NUMBER: 0001622627-23-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230821 FILED AS OF DATE: 20230822 DATE AS OF CHANGE: 20230822 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rosalind Advisors, Inc. CENTRAL INDEX KEY: 0001622627 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16133 FILM NUMBER: 231194756 BUSINESS ADDRESS: STREET 1: 25 ADMIRAL ROAD CITY: TORONTO STATE: A6 ZIP: M5R 2L4 BUSINESS PHONE: 4168887606 MAIL ADDRESS: STREET 1: 15 WELLESLEY STREET WEST STREET 2: SUITE 326 CITY: TORONTO STATE: A6 ZIP: M4Y 0G7 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: 231194755 MAIL ADDRESS: STREET 1: 15 WELLESLEY STREET WEST STREET 2: SUITE 326 CITY: TORONTO STATE: A6 ZIP: M4Y 0G7 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SALAMON STEVEN A J CENTRAL INDEX KEY: 0001623082 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16133 FILM NUMBER: 231194754 MAIL ADDRESS: STREET 1: 25 ADMIRAL ROAD CITY: TORONTO STATE: A6 ZIP: M5R 2L4 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 primary_doc.xml PRIMARY DOCUMENT X0508 4 2023-08-21 0 0000872912 DELCATH SYSTEMS, INC. DCTH 0001622627 Rosalind Advisors, Inc. 15 WELLESLEY STREET WEST SUITE 326 TORONTO A6 M4Y 0G7 ONTARIO, CANADA 1 0 0 0 0001811824 Aharon Gil 15 WELLESLEY STREET WEST SUITE 326 TORONTO A6 M4Y 0G7 ONTARIO, CANADA 1 0 0 0 0001623082 SALAMON STEVEN A J 15 WELLESLEY STREET WEST SUITE 326 TORONTO A6 M4Y 0G7 ONTARIO, CANADA 1 0 0 0 0 Tranche A Warrant 1000 2023-08-21 4 X 0 3010000 1000 A 2023-06-15 2023-09-04 Series F-3 Convertible Preferred Stock 3010 0 I By Rosalind Advisors, Inc., the advisor to the Rosalind Funds Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein. Each F-3 Preferred is convertible into DELCATH SYSTEMS, Inc. Common Stock at $4.50 per share Steven Salamon 2023-08-22