SEC Form 4 · accession 0001209191-15-052832
DELCATH SYSTEMS, INC. · DCTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer K. Simpson
Officer — President & CEO
Period of report
Jun 10, 2015
Accepted (ET)
Jun 12, 2015 · 5:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000872912
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 10, 2015 | A | 201,375 | $0.00 | A | 219,337 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $1.19 | Jun 10, 2015 | A | 95,125 | A | — | Jun 10, 2025 | Common Stock | 95,125 | 95,125 | D |
Explanation of responses
- F1The restricted stock vests ratably on June 10, 2016, 2017, and 2018, subject to forfeiture in the event of certain circumstances and acceleration upon certain events.
- F2This option vests ratably on June 10, 2016, 2017, and 2018, subject to forfeiture in the event of certain circumstances and acceleration upon certain events.