Statement of Changes in Beneficial Ownership (4)
June 29 2021 - 12:47PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
MICHEL GERARD J |
2. Issuer Name and Ticker or Trading Symbol
DELCATH SYSTEMS, INC.
[
DCTH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Executive Officer |
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(Last)
(First)
(Middle)
C/O DELCATH SYSTEMS, INC.,, 1633 BROADWAY, SUITE 22C |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/25/2021 |
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(Street)
NEW YORK, NY 10019
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 6/25/2021 | | P | | 6600 | A | $11.35 (1) | 29600 | D | |
| Common Stock | 6/28/2021 | | P | | 6250 | A | $11.93 (1) | 35850 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | The price reported in Column 4 is a weighted average price rounded to the nearest hundredth. The shares purchased on June 25, 2021 were purchased in multiple transactions at prices ranging from $11.4915 to $11.24, inclusive. The shares purchased on June 28, 2021 were purchased in multiple transactions at prices ranging from $12.25 to $11.67, inclusive. The reporting person undertakes to provide to Delcath Systems, Inc., any securityholder of Delcath Systems, Inc., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
MICHEL GERARD J
C/O DELCATH SYSTEMS, INC.,
1633 BROADWAY, SUITE 22C
NEW YORK, NY 10019 | X |
| Chief Executive Officer |
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Signatures
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| /s/ Gerard Michel | | 6/29/2021 |
| **Signature of Reporting Person | Date |
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