Rosalind Advisors, Inc.'s Form 4/A amendment
AmendedDelcath Systems, Inc. (DCTH) · filed Jul 1, 2021
- Accession no.
- 0001019056-21-000393
- Filed
- Jul 1, 2021
- Trade date
- Jun 28, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jun 30, 2021
This filing lists 1 non-derivative transaction. Open-market purchases total $57.8K. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Rosalind Advisors, Inc.CIK 0001622627 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 28, 2021 | Common Shares | PPurchaseAcquired | +5,000 | $11.56 | +$57,800 | 416,000 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Includes 406,500 previously reported as of June 25, 2021 in accordance with Form 3 filing indirectly owned by the Reporting Person as Officer(s) of Rosalind Advisors, Inc., the advisor to Rosalind Opportunities Fund I L.P. and Rosalind Master Fund L.P., collectively, the "Rosalind Funds".
- F2
Each Reporting Persons disclaims beneficial ownership over the shares except to the extent of his or its respective pecuniary interest therein.
Remarks
This Form 4/A is being filed to reflect the correct number of shares acquired as it was inadvertently reported as 500,000 rather than 5,000.