UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option | Â (1) | 06/01/2012 | Common Stock, par value $0.01 | 50,000 | $ 4.52 | D | Â |
Stock Option | 11/30/2007 | 11/30/2012 | Common Stock, par value $0.01 | 20,000 | $ 1.88 | D | Â |
Stock Option | Â (2) | 05/01/2013 | Common Stock, par value $0.01 | 20,000 | $ 1.87 | D | Â |
Stock Option | 01/01/2009 | 01/01/2014 | Common Stock, par value $0.01 | 25,000 | $ 1.43 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rifkin Jason Andrew C/O DELCATH SYSTEMS, INC. 600 FIFTH AVENUE, 23RD FLOOR NEW YORK, NY 10020 |
 |  |  Sr. VP Clinical Oper. & Secy |  |
/s/ Jason Rifkin | 05/01/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Options to purchase 8,333 shares became exercisable on each of December 1, 2007 and June 1, 2008. Options to purchase 16,667 shares will become exercisable on each of June 1, 2009 and June 1, 2010. |
(2) | Options to purchase 6,667 shares will become exercisable on each of May 1, 2010 and May 1, 2011 and options to purchase 6,666 shares will become exercisable on May 1, 2011. |