Amended Statement of Ownership (sc 13g/a)
February 06 2017 - 3:17PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Delcath
Systems, Inc.
(Name of Issuer)
Common Stock, $0.01 par value per share
(Title of Class of Securities)
24661P401
(CUSIP Number)
December 31, 2016
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
*
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The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
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The information required in the remainder of this cover page shall not be
deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act
(however, see the Notes).
Page 1 of 6
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1.
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Names of
Reporting Persons.
Mitchell P. Kopin
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a) ☐ (b) ☐
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of America
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
39,478
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
39,478
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
39,478 (see Item 4)
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10.
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares (See Instructions) ☐
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11.
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Percent of Class Represented by Amount
in Row (9)
1.8% (see Item 4)
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12.
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Type of Reporting Person (See
Instructions)
IN; HC
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Page 2 of 6
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1.
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Names of
Reporting Persons.
Daniel B. Asher
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a) ☐ (b) ☐
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of America
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
39,478
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
39,478
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
39,478 (see Item 4)
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10.
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares (See Instructions) ☐
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11.
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Percent of Class Represented by Amount
in Row (9)
1.8% (see Item 4)
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12.
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Type of Reporting Person (See
Instructions)
IN; HC
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Page 3 of 6
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1.
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Names of
Reporting Persons.
Intracoastal Capital LLC
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2.
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Check the Appropriate Box if a Member
of a Group (See Instructions)
(a) ☐ (b) ☐
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of America
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
39,478
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
39,478
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
39,478 (see Item 4)
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10.
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares (See Instructions) ☐
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11.
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Percent of Class Represented by Amount
in Row (9)
1.8% (see Item 4)
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12.
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Type of Reporting Person (See
Instructions)
OO
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Page 4 of 6
This Amendment No. 2 is being filed jointly by the Reporting Persons and amends the
Schedule 13G initially filed by the Reporting Persons with the Securities and Exchange Commission (the
SEC
) on July 27, 2015, as amended by Amendment No. 1 filed by the Reporting Persons on February 11, 2016
(the
Schedule 13G
).
Except as set forth below, all Items of the Schedule 13G remain unchanged. All
capitalized terms not otherwise defined herein shall have the meanings ascribed to such terms in the Schedule 13G.
Item 1.
(b) Address of Issuers Principal Executive Offices
1633 Broadway, Suite 22C
New
York, New York 10019
Item 4. Ownership.
(a) and (b):
As
of the close of business on December 31, 2016, each of the Reporting Persons may be deemed to have beneficial ownership of 39,478 shares of Common Stock, which consisted of (i) 37,500 shares of Common Stock issuable upon exercise of a
warrant held by Intracoastal (
Intracoastal Warrant 1
) and (ii) 1,978 shares of Common Stock issuable upon exercise of a second warrant held by Intracoastal (
Intracoastal Warrant 2
), and all such shares of
Common Stock in the aggregate represent beneficial ownership of approximately 1.8% of the Common Stock, based on (1) 2,197,431 shares of Common Stock outstanding on November 10, 2016 as reported by the Issuer, plus (2) 37,500 shares
of Common Stock issuable upon exercise of Intracoastal Warrant 1 and (3) 1,978 shares of Common Stock issuable upon exercise of Intracoastal Warrant 2.
(c) Number of shares as to which each Reporting Person has:
(i) Sole power to vote or to direct the vote:
0
.
(ii) Shared power to vote or to direct the vote:
39,478
.
(iii) Sole power to dispose or to direct the disposition of
0
.
(iv) Shared power to dispose or to direct the disposition of
39,478
.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of
more than 5 percent of the class of securities, check the following ☒.
Item 10. Certification
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held
for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than
activities solely in connection with a nomination under §240.14a-11.
Page 5 of 6
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
Date: February 6, 2017
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/s/ Mitchell P. Kopin
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Mitchell P. Kopin
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/s/ Daniel B. Asher
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Daniel B. Asher
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Intracoastal Capital LLC
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By:
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/s/ Mitchell P. Kopin
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Mitchell P. Kopin, Manager
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Page 6 of 6