SEC Form 4 · accession 0001209191-15-053371
DELCATH SYSTEMS, INC. · DCTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger G Stoll Ph.D.
Director
Period of report
Jun 10, 2015
Accepted (ET)
Jun 15, 2015 · 4:57 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 | 57,500 | $0.00 | A | 79,145 | 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 | 42,500 | A | — | Jun 10, 2015 | Common Stock | 42,500 | 42,500 | D |
Explanation of responses
- F120,000 of the restricted stock will vest at the earlier of (i) June 10, 2016 and (ii) the Issuer's next annual meeting of stockholders, subject to forfeiture in the event of certain circumstances and acceleration upon certain events. 37,500 of the restricted stock will vest ratably on June 10, 2016, 2017, and 2018, subject to forfeiture in the event of certain circumstances and acceleration upon certain events.
- F230,000 of the stock options will vest at the earlier of (i) June 10, 2016 and (ii) the Issuer's next annual meeting of stockholders, subject to forfeiture in the event of certain circumstances and acceleration upon certain events. 12,500 of the stock options will vest ratably on June 10, 2016, 2017, and 2018, subject to forfeiture in the event of certain circumstances and acceleration upon certain events.