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| CIK | 1869974 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Aesther Healthcare Acquisition Corp - Class A
SEC Filings (Chronological Order)
Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.
| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2025 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Fo |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 31, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 17, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 10, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fi |
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| June 13, 2025 |
Termination of a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 12, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40793 OCEAN BIO |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM 10-K FORM 10-K/A (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numb |
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| April 23, 2025 |
Exhibit 99.1 Ocean Biomedical Expands into Energy and Digital Asset Sectors to Accelerate Growth and Shareholder Value April 22, 2025 08:00 ET | Source: Ocean Biomedical, Inc.Follow Strategic diversification into power infrastructure and cryptocurrencies supports long-term biopharma innovation PROVIDENCE, R.I., April 22, 2025 (GLOBE NEWSWIRE) — Ocean Biomedical, Inc. (NASDAQ: OCEA), a biopharmaceu |
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| April 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 22, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission F |
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| April 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40793 Ocean Biomedical, |
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| April 8, 2025 |
Policy for the Recovery of Erroneously Awarded Compensation Exhibit 97 POLICY FOR THE RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION 1. OVERVIEW 1.1. In accordance with Nasdaq Rule 5608, Section 10D and Rule 10D-1 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) (“Rule 10D-1”), the Board of Directors (the “Board”) of Ocean Biomedical, Inc. (the “Company”) has adopted this Policy (the “Policy”) to provide for the recovery of erroneously |
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| April 8, 2025 |
Insider Trading Compliance Policy. Exhibit 19.1 Ocean Biomedical, Inc. Statement of Policies and Procedures Governing Material Nonpublic Information and the Prevention of Insider Trading 1. PURPOSE The purchase or sale of securities while possessing material nonpublic (“inside”) information or the disclosure of inside information (“tipping”) to others who may trade in such securities is sometimes referred to as “insider trading” an |
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| April 1, 2025 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 28, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission F |
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| April 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form N-SAR For Period Ended: December 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form N-SAR For the Tran |
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| March 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 26, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission F |
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| March 20, 2025 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 14, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission F |
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| March 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 4, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fi |
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| March 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 4, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fi |
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| February 26, 2025 |
Certificate of Designation for Series A Preferred Stock Exhibit 3.1 |
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| February 26, 2025 |
Form of Securities Purchase Agreement Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 21, 2025 between Ocean Biomedical, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditio |
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| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 20, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commissio |
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| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| February 21, 2025 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 21, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commissio |
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| February 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| February 12, 2025 |
Other Events, Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 11, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commissio |
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| January 15, 2025 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 7, 2025 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| January 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40793 OCEAN |
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| December 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40793 OCEAN BIOM |
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| December 23, 2024 |
Exhibit 10.2 |
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| December 23, 2024 |
Exhibit 10.2 |
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| December 23, 2024 |
Exhibit 10.1 SEVENTH AMENDMENT TO EXCLUSIVE LICENSE AGREEMENTS This Seventh Amendment to Exclusive License Agreement (this “Amendment”) is entered into effective November 1, 2023 (the “Amendment Date”), by and between Elkurt, Inc., a Rhode Island corporation with an address at 297 President Ave, Providence RI 02906 (“Elkurt”) and Ocean Biomedical Inc., a Delaware corporation with an address at 19W |
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| December 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40793 OCEAN BIO |
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| December 23, 2024 |
Exhibit 10.1 SEVENTH AMENDMENT TO EXCLUSIVE LICENSE AGREEMENTS This Seventh Amendment to Exclusive License Agreement (this “Amendment”) is entered into effective November 1, 2023 (the “Amendment Date”), by and between Elkurt, Inc., a Rhode Island corporation with an address at 297 President Ave, Providence RI 02906 (“Elkurt”) and Ocean Biomedical Inc., a Delaware corporation with an address at 19W |
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| December 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 17, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commissio |
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| December 11, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 5, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| December 9, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 3, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| December 6, 2024 |
Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 2, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| December 6, 2024 |
Letter from Deloitte & Touche LLP Exhibit 16.1 |
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| November 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40793 Ocean Biomedical, |
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| November 22, 2024 |
Exhibit 99.1 Ocean Biomedical, Inc. Announces Receipt of Notice from Nasdaq Regarding Late Filing of Quarterly Report on Form 10-Q November 22, 2024 PROVIDENCE, Rhode Island, November 22, 2024 (GLOBE NEWSWIRE) - Ocean Biomedical, Inc. (NASDAQ: OCEA), today announced that on November 18, 2024, it received a notice from The Nasdaq Stock Market LLC (“Nasdaq”) stating that because the Company has not |
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| November 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 18, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commissio |
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| October 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 23, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| October 22, 2024 |
Ocean Biomedical, Inc. Announces Receipt of Nasdaq Staff Determination Letter Exhibit 99.1 Ocean Biomedical, Inc. Announces Receipt of Nasdaq Staff Determination Letter PROVIDENCE, Rhode Island, October 22, 2024 (GLOBE NEWSWIRE) - Ocean Biomedical, Inc. (NASDAQ: OCEA), today announced that on October 16, 2024, it received a Staff Determination Letter from The Nasdaq Stock Market LLC (“Nasdaq”) stating that on April 18, 2024, May 22, 2024, and August 19, 2024, Staff notified |
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| October 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 16, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| October 17, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 11, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| August 23, 2024 |
Exhibit 99.1 Ocean Biomedical, Inc. Announces Receipt of Notice from Nasdaq Regarding Late Filing of Quarterly Report on Form 10-Q PROVIDENCE, Rhode Island, August 23, 2024 (GLOBE NEWSWIRE) — Ocean Biomedical, Inc. (NASDAQ: OCEA), today announced that on August 19, 2024, it received a notice from The Nasdaq Stock Market LLC (“Nasdaq”) stating that because the Company has not yet filed its Quarterl |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 19, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| July 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 22, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 23, 2024 |
Exchange Agreement with Institutional Investor Exhibit 10.1 EXECUTION VERSION AMENDMENT AND EXCHANGE AGREEMENT This Amendment and Exchange Agreement (the “Agreement”) is entered into as of the 15th day of July, 2024, by and between Ocean Biomedical, Inc., a Delaware corporation with offices located at 55 Claverick Street, Room 325, Providence, Rhode Island 02903 (the “Company”), and the undersigned investor signatory hereto (the “Holder”), wit |
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| May 30, 2024 |
Exhibit 99.1 Ocean Biomedical, Inc. Announces Receipt of Notice from Nasdaq Regarding Late Filing of Quarterly Report on Form 10-Q PROVIDENCE, Rhode Island, May 30, 2024 (GLOBE NEWSWIRE) — Ocean Biomedical, Inc. (NASDAQ: OCEA), today announced that on May 22, 2024, it received a notice from The Nasdaq Stock Market LLC (“Nasdaq”) stating that because the Company has not yet filed its Quarterly Repo |
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| May 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 22, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form N-SAR For Period Ended: March 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form N-SAR For the Transit |
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| April 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 18, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission F |
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| April 24, 2024 |
EXHIBIT 99.1 Ocean Biomedical, Inc. Announces Receipt of Notice from Nasdaq Regarding Late Filing of Annual Report on Form 10-K PROVIDENCE, Rhode Island, April 24, 2024 (GLOBE NEWSWIRE) – Ocean Biomedical, Inc. (NASDAQ: OCEA), today announced that on April 18, 2024, it received a notice from The Nasdaq Stock Market LLC (“Nasdaq”) stating that because the Company has not yet filed its Annual Report |
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| April 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40793 OCEAN |
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| April 15, 2024 |
Exhibit 10.2 |
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| April 15, 2024 |
Exhibit 10.1 SEVENTH AMENDMENT TO EXCLUSIVE LICENSE AGREEMENTS This Seventh Amendment to Exclusive License Agreement (this “Amendment”) is entered into effective November 1, 2023 (the “Amendment Date”), by and between Elkurt, Inc., a Rhode Island corporation with an address at 297 President Ave, Providence RI 02906 (“Elkurt”) and Ocean Biomedical Inc., a Delaware corporation with an address at 19W |
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| April 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 TO FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 TO FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| April 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form N-SAR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form N-SAR For the Tran |
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| March 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 4, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fi |
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| March 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 30, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| February 14, 2024 |
SC 13G/A 1 lighthouse-aeha123123a1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Aesther Healthcare Acquisition Corp. (Name of Issuer) Class A Ordinary Share, par value $0.0001 per share (Title of Class of Securities) 00809L205 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filin |
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| February 14, 2024 |
US67644C1045 / OCEAN BIOMEDICAL INC-CL A / Ayrton Capital LLC Passive Investment SC 13G 1 formsc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 0)* OCEAN BIOMEDICAL, INC. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 67644C104 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to de |
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| February 13, 2024 |
US67644C1045 / OCEAN BIOMEDICAL INC-CL A / BOOTHBAY FUND MANAGEMENT, LLC Passive Investment SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Ocean Biomedical, Inc. (f/k/a Aesther Healthcare Acquisition Corp.) (Name of Issuer) Class A common stock, $0.0001 par value per share (Title of Class of Securities) 67644C104 (CUSIP Number) December 31, 2023 (Date of Event whic |
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| February 13, 2024 |
US67644C1045 / OCEAN BIOMEDICAL INC-CL A / ATW SPAC MANAGEMENT LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ocean Biomedical, Inc. (f/k/a Aesther Healthcare Acquisition Corp.) (Name of Issuer) Class A Common Stock, par value $0.0001 (Title of Class of Securities) 67644C104 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) |
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| February 12, 2024 |
SC 13G/A 1 schedule13gaaeha021224.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Aesther Healthcare Acquisition Corp. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 00809L106 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing |
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| February 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Aesther Healthcare Acquisition Corp (Name of Issuer) Common Stock, $0001 par value (Title of Class of Securities) 00809L205 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 26, 2024 |
US67644C1045 / OCEAN BIOMEDICAL INC-CL A / Weiss Asset Management LP Passive Investment SC 13G/A 1 ocea13ga31dec2023.htm =============================================================================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.2)* OCEAN BIOMEDICAL, INC. (FORMERLY KNOWN AS AESTHER HEALTHCARE ACQUISITION CORP.) - (Name of Issuer) Common stock, par value $0.0001 per share |
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| January 19, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 17, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| January 17, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 11, 2024 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| November 30, 2023 |
Exhibit 99.1 Ocean Biomedical, Inc. Announces Receipt of Notice from Nasdaq Regarding Late Filing of Quarterly Report on Form 10-Q PROVIDENCE, Rhode Island , Nov. 29, 2023 (GLOBE NEWSWIRE) — Ocean Biomedical, Inc. (NASDAQ: OCEA), today announced that on November 22, 2023, it received a notice from The Nasdaq Stock Market LLC (“Nasdaq”) stating that because the Company has not yet filed its quarter |
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| November 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 22, 2023 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commissio |
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| November 15, 2023 |
SEC File Number: 001-40793 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 10, 2023 OCEAN BIOMEDICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commissio |
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| October 12, 2023 |
Exhibit 99.1 Ocean Biomedical and Virion Therapeutics Form Joint Venture Supporting Multi-National, First-In-Humans Clinical Chronic Hepatitis B Study: Now Enrolling, With Goal of a Functional Cure for a Disease Affecting 300+ Million Patients Worldwide Providence, Rhode Island, October 12, 2023 – Ocean Biomedical, Inc. (NASDAQ: OCEA), a biopharma company working to accelerate the development of c |
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| October 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 6, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| October 12, 2023 |
Exhibit 10.1 AMENDED AND RESTATED Contribution Agreement This Amended and Restated Contribution Agreement (this “Agreement”) dated as of October 11, 2023 by and between Ocean Biomedical, Inc., a Delaware corporation (“Participant”), Virion Therapeutics, LLC, a Delaware limited liability company (“JV Company”), and Poseidon Bio, LLC, a Delaware limited liability company (“Poseidon”). Each of Partic |
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| October 12, 2023 |
Exhibit 10.2 VIRION THERAPEUTICS, LLC – SECOND AMENDED AND RESTATED LIMITED LIABILITY COMPANY OPERATING AGREEMENT THIS SECOND AMENDED AND RESTATED LIMITED LIABILITY COMPANY OPERATING AGREEMENT (this “Agreement”) OF VIRION THERAPEUTICS, LLC, a Delaware limited liability company (the “Company”), is made and entered into effective October 11, 2023 (the “Effective Date”), by and among the Company and |
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| October 6, 2023 |
Exhibit 10.1 AMENDMENT TO COMMON STOCK PURCHASE AGREEMENT BETWEEN Ocean Biomedical, Inc. AND WHITE LION CAPITAL LLC THIS AMENDMENT TO COMMON STOCK PURCHASE AGREEMENT (this “Amendment”), effective October 4, 2023 (the “Amendment Effective Date”), is by and between Ocean Biomedical, Inc., f/k/a Aesther Healthcare Acquisition Corp. (the “Company”), and White Lion Capital, LLC, a Nevada limited liabil |
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| October 6, 2023 |
Ocean Biomedical Announces Loan Commitment from Largest Stockholder; Up to $10 Million Exhibit 99.1 Ocean Biomedical Announces Loan Commitment from Largest Stockholder; Up to $10 Million Providence, RI, October 4, 2023 (GLOBE NEWSWIRE). Ocean Biomedical, Inc. (NASDAQ: OCEA) announced today that it has entered into a non-binding term sheet with its largest stockholder, Poseidon Bio, LLC, majority owned by Dr. Chirinjeev Kathuria, for a proposed debt facility consisting of convertible |
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| October 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 4, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| October 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 2, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| October 3, 2023 |
Exhibit 10.1 SIDE LETTER Dated October 2, 2023 This Side Letter Agreement (the “Side Letter”) to the Assignment and Novation Agreement dated February 13, 2023 (the “Novation Agreement”), a copy of which is attached hereto as Exhibit A, by and among (i) Ocean Biomedical Inc., a Delaware corporation formerly known as Aesther Healthcare Acquisition Corp (the “Counterparty”), (ii) Ocean Biomedical Hol |
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| September 6, 2023 |
Submission of Matters to a Vote of Security Holders, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 30, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission |
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| August 16, 2023 |
PROSPECTUS SUPPLEMENT NO. 1 (To Prospectus dated July 7, 2023) Filed pursuant to Rule 424(b)(3) Registration Number 333-272859 OCEAN BIOMEDICAL, INC. UP TO 26,196,162 SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION OF SENIOR SECURED CONVERTIBLE PROMISSORY NOTES UP TO 1,971,934 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF WARRANTS This prospectus supplement (the “Prospectus Supplement”) supplem |
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| August 16, 2023 |
424B3 1 form424b3.htm PROSPECTUS SUPPLEMENT NO. 1 (To Prospectus dated June 22, 2023) Filed pursuant to Rule 424(b)(3) Registration Number 333-271392 OCEAN BIOMEDICAL, INC. 12,050,054 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF WARRANTS 5,411,000 WARRANTS 13,213,693 SHARES OF COMMON STOCK 2,643,677 SHARES OF COMMON STOCK This prospectus supplement (the “Prospectus Supplement”) supplements the |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40793 OCEAN BIOM |
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| August 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| August 3, 2023 |
PROSPECTUS Filed pursuant to Rule 424(b)(3) Registration Number 333-271392 OCEAN BIOMEDICAL, INC. |
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| July 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| July 6, 2023 |
55 Claverick St., Room 325 Providence, Rhode Island 02903 55 Claverick St., Room 325 Providence, Rhode Island 02903 July 6, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Lauren Hamill Re: Ocean Biomedical, Inc. Registration Statement on Form S-1 File No. 333-272859 Ladies and Gentleman: Pursuant to Rule 461 under the Securities Act of 1933, as amended, the undersigne |
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| July 6, 2023 |
As filed with the Securities and Exchange Commission on July 6, 2023 As filed with the Securities and Exchange Commission on July 6, 2023 Registration No. |
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| June 23, 2023 |
PROSPECTUS Filed pursuant to Rule 424(b)(3) Registration Number 333-271392 OCEAN BIOMEDICAL, INC. |
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| June 22, 2023 |
Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) OCEAN BIOMEDICAL, INC. |
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| June 22, 2023 |
As filed with the Securities and Exchange Commission on June 22, 2023 As filed with the Securities and Exchange Commission on June 22, 2023 Registration No. |
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| June 21, 2023 |
55 Claverick St., Room 325 Providence, Rhode Island 02903 55 Claverick St., Room 325 Providence, Rhode Island 02903 June 21, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Joe McCann and Arzhang Navai Re: Ocean Biomedical, Inc. Registration Statement on Form S-1 File No. 333-271392 Ladies and Gentleman: Pursuant to Rule 461 under the Securities Act of 1933, as amended |
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| June 15, 2023 |
As filed with the Securities and Exchange Commission on June 15, 2023 As filed with the Securities and Exchange Commission on June 15, 2023 Registration No. |
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| June 15, 2023 |
Amended and Restated Filing Fee Table. Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) OCEAN BIOMEDICAL, INC. |
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| June 15, 2023 |
* * * California | Illinois | Michigan | Minnesota | Texas | Washington, D.C. | Wisconsin Dykema Gossett PLLC 111 E. Kilbourn Ave. Suite 1050 Milwaukee, WI 53202 www.dykema.com Tel: 414-488-7300 Kate Bechen Direct Dial: (414) 488-7333 Direct Fax: (866) 945-9792 Email: [email protected] June 15, 2023 U.S. Securities and Exchange Commission Division of Corporate Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attention: Arzhang Navai and Joe McCann Re: Ocean Bi |
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| June 8, 2023 |
EX-10.1 2 ex10-1.htm AMENDMENT TO LOAN AGREEMENT, DATED JUNE 2, 2023 Exhibit 10.1 |
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| June 8, 2023 |
EX-10.2 3 ex10-2.htm OMNIBUS AMENDMENT TO LOAN AGREEMENTS, DATED JUNE 2, 2023 Exhibit 10.2 |
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| June 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 June 8, 2023 (June 2, 2023) Date of Report (Date of earliest event reported) Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) ( |
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| June 1, 2023 |
EX-10.107 4 ex10-107.htm SECURITY AND PLEDGE AGREEMENT Exhibit 10.107 EXECUTION VERSION SECURITY AND PLEDGE AGREEMENT SECURITY AND PLEDGE AGREEMENT, dated as of May 16, 2023 (this “Agreement”), made by Ocean Biomedical, Inc., a company organized under the laws of Delaware, with offices located at 55 Claverick St., Rm. 325, Providence, RI 02903 (the “Company”), and each of the undersigned direct an |
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| June 1, 2023 |
EX-10.109 5 ex10-109.htm REGISTRATION RIGHTS AGREEMENT Exhibit 10.109 EXECUTION COPY REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of May 16, 2023, is by and among Ocean Biomedical, Inc., a Delaware corporation with offices located at 55 Claverick Street, Room 325, Providence, Rhode Island 02903 (the “Company”), and the undersigned buyers (each, a “B |
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| June 1, 2023 |
Amended and Restated Filing Fee Table. Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) OCEAN BIOMEDICAL, INC. |
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| June 1, 2023 |
California | Illinois | Michigan | Minnesota | Texas | Washington, D.C. | Wisconsin Dykema Gossett PLLC 111 E. Kilbourn Ave. Suite 1050 Milwaukee, WI 53202 www.dykema.com Tel: 414-488-7300 Kate Bechen Direct Dial: (414) 488-7333 Direct Fax: (866) 945-9792 Email: [email protected] June 1, 2023 U.S. Securities and Exchange Commission Division of Corporate Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attention: Arzhang Navai and Joe McCann Re: Ocean Bio |
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| June 1, 2023 |
As filed with the Securities and Exchange Commission on June 1, 2023 As filed with the Securities and Exchange Commission on June 1, 2023 Registration No. |
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| June 1, 2023 |
Exhibit 10.106 EXECUTION VERSION GUARANTY This GUARANTY, dated as of May 16, 2023 (this “Guaranty”), is made by each of the undersigned (each a “Guarantor”, and collectively, the “Guarantors”), in favor of Alto Opportunity Master Fund, SPC – Segregated Master Portfolio B, in its capacity as collateral agent (in such capacity, the “Collateral Agent” as hereinafter further defined) for the “Buyers” |
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| May 26, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 26, 2023 |
Exhibit 10.1 AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENT This AMENDMENT NO. 1, dated as of May 25, 2023 (this “Amendment”), to the SECURITIES PURCHASE AGREEMENT (the “Securities Purchase Agreement”), dated as of May 15, 2023, is by and among Ocean Biomedical, Inc., a Delaware corporation with offices located at 55 Claverick Street, Room 325, Providence, Rhode Island 02903 (the “Company”), and |
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| May 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40793 Ocean Bio |
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| May 24, 2023 |
Exhibit 10.17 |
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| May 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-40793 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on |
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| May 16, 2023 |
Exhibit 10.1 [FORM OF SENIOR SECURED CONVERTIBLE NOTE] NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A |
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| May 16, 2023 |
Exhibit 10.6 EXECUTION COPY REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of May 16, 2023, is by and among Ocean Biomedical, Inc., a Delaware corporation with offices located at 55 Claverick Street, Room 325, Providence, Rhode Island 02903 (the “Company”), and the undersigned buyers (each, a “Buyer,” and collectively, the “Buyers”). RECITALS A. In co |
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| May 16, 2023 |
Exhibit 10.2 [FORM OF WARRANT] NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRAT |
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| May 16, 2023 |
Exhibit 10.5 EXECUTION COPY SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of May 15, 2023, is by and among Ocean Biomedical, Inc., a Delaware corporation with offices located at 55 Claverick Street, Room 325, Providence, Rhode Island 02903 (the “Company”), and each of the investors listed on the Schedule of Buyers attached hereto (individually, a “Buy |
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| May 16, 2023 |
Ocean Biomedical, Inc. Enters into a $25 Million Convertible Note Facility Exhibit 99.1 Ocean Biomedical, Inc. Enters into a $25 Million Convertible Note Facility Providence, RI, May 16, 2023 (GLOBE NEWSWIRE) - Ocean Biomedical, Inc. (NASDAQ: OCEA), a biopharma company working to accelerate the development and commercialization of scientifically compelling assets from research universities and medical centers, announced today that it has entered into a private placement |
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| May 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 16, 2023 |
EX-10.3 4 ex10-3.htm Exhibit 10.3 EXECUTION VERSION GUARANTY This GUARANTY, dated as of May 16, 2023 (this “Guaranty”), is made by each of the undersigned (each a “Guarantor”, and collectively, the “Guarantors”), in favor of Alto Opportunity Master Fund, SPC – Segregated Master Portfolio B, in its capacity as collateral agent (in such capacity, the “Collateral Agent” as hereinafter further defined |
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| May 16, 2023 |
Exhibit 10.4 EXECUTION VERSION SECURITY AND PLEDGE AGREEMENT SECURITY AND PLEDGE AGREEMENT, dated as of May 16, 2023 (this “Agreement”), made by Ocean Biomedical, Inc., a company organized under the laws of Delaware, with offices located at 55 Claverick St., Rm. 325, Providence, RI 02903 (the “Company”), and each of the undersigned direct and indirect Subsidiaries (as defined below) of the Company |
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| April 21, 2023 |
Exhibit 19.1 |
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| April 21, 2023 |
Exhibit 10.79 |
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| April 21, 2023 |
Exhibit 10.78 |
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| April 21, 2023 |
Exhibit 10.102 |
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| April 21, 2023 |
Exhibit 10.65 |
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| April 21, 2023 |
Exhibit 10.80 |
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| April 21, 2023 |
Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) OCEAN BIOMEDICAL, INC. |
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| April 21, 2023 |
Exhibit 10.81 |
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| April 21, 2023 |
As filed with the Securities and Exchange Commission on April 21, 2023 As filed with the Securities and Exchange Commission on April 21, 2023 Registration No. |
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| April 21, 2023 |
Exhibit 10.71 |
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| March 31, 2023 |
Exhibit 10.74 |
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| March 31, 2023 |
Exhibit 10.91 |
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| March 31, 2023 |
Exhibit 10.90 |
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| March 31, 2023 |
Exhibit 10.89 |
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| March 31, 2023 |
OCEAN BIOMEDICAL, INC. AND SUBSIDIARIES INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Exhibit 99.2 OCEAN BIOMEDICAL, INC. AND SUBSIDIARIES INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Page Report of Independent Registered Public Accounting Firm F-2 Consolidated Financial Statements Consolidated Balance Sheets F-3 Consolidated Statements of Operations F-4 Consolidated Statements of Stockholders’ Equity F-5 Consolidated Statements of Cash Flows F-6 Notes to Consolidated Financial State |
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| March 31, 2023 |
Exhibit 10.94 |
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| March 31, 2023 |
Exhibit 10.69 |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40793 Ocean Biomedical, |
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| March 31, 2023 |
Exhibit 10.83 |
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| March 31, 2023 |
Exhibit 10.92 |
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| March 31, 2023 |
Exhibit 10.93 |
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| March 31, 2023 |
Exhibit 99.3 OCEAN BIOMEDICAL’S MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS Unless otherwise indicated or the context requires, references in this section to “Legacy Ocean Biomedical,” “we,” “us,” “our” and other similar terms refer to Ocean Biomedical Holdings, Inc. prior to the Business Combination, references in this section to “Ocean Biomedical” or the |
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| March 31, 2023 |
UNAUDITED PRO FORMA COMBINED CONsolidated FINANCIAL INFORMATION Exhibit 99.4 UNAUDITED PRO FORMA COMBINED CONsolidated FINANCIAL INFORMATION Introduction The following unaudited pro forma combined financial information presents the combination of the financial information of Aesther Healthcare Acquisition Corp. (“Aesther” or “AHAC”) and Ocean Biomedical, Inc. adjusted to give effect to a completed transaction on February 14, 2023 (the “Closing Date”), whereas, |
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| March 31, 2023 |
Insider Trading Compliance Policy. Exhibit 19.1 |
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| March 31, 2023 |
Exhibit 10.75 |
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| March 31, 2023 |
Exhibit 10.64 |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 2 CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorpo |
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| March 27, 2023 |
Exhibit 10.1 |
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| March 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission F |
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| March 24, 2023 |
US67644C1045 / OCEAN BIOMEDICAL INC-CL A / Aesther Healthcare Sponsor, LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 schedule 13d/A Under The Securities Exchange Act Of 1934 (Amendment No. 1)* Ocean Biomedical, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 67644C104 (CUSIP Number) Suren Ajjarapu 515 Madison Avenue, Suite 8078 New York, New York 10022 (646) 908-2659 with a copy to: Kate L. Bech |
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| March 24, 2023 |
Exhibit 99.6 Execution Version LOAN MODIFICATION AGREEMENT THIS LOAN MODIFICATION AGREEMENT (this “Agreement”), made this 22nd day of March, 2023, by and among NPIC Limited (the “Lender”), Ocean Biomedical, Inc. f/k/a Aesther Healthcare Acquisition Corp. (the “Company”) and Aesther Healthcare Sponsor, LLC (the “Sponsor” or “Borrower”). Lender, Company and Sponsor are referred to in this Agreement |
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| March 24, 2023 |
Exhibit 99.1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder (the “Exchange Act”), the undersigned hereby agree to the joint filing on behalf of each of them of any filing required by such party under Section 13 of the Exchange Act or any rule or regulation thereunder (including any amendment, resta |
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| March 17, 2023 |
Investor Presentation, dated March 16, 2023. Exhibit 99.1 |
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| March 17, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commission F |
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| February 24, 2023 |
Power of Attorney of Aesther Healthcare Sponsor, LLC, dated February 16, 2023. EX-99.8 3 ex99-8.htm Exhibit 99.8 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Kate L. Bechen, Thomas S. Vaughn, Joseph R. DeHondt, Timothy B. Caprez, Robin K. Lehninger, Julie A. D’Angelo, Katherine E. Spiser, or Hallie D. Heath, or any of them acting singly and with full power of substitution, as the undersigned’s true and lawful atto |
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| February 24, 2023 |
Exhibit 99.5 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Kate L. Bechen, Thomas S. Vaughn, Joseph R. DeHondt, Timothy B. Caprez, Robin K. Lehninger, Julie A. D’Angelo, Katherine E. Spiser, or Hallie D. Heath, or any of them acting singly and with full power of substitution, as the undersigned’s true and lawful attorney-in-fact to: (1) |
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| February 24, 2023 |
Joint Filing Agreement by and among the Reporting Persons. EX-99.7 4 ex99-7.htm Exhibit 99.7 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder (the “Exchange Act”), the undersigned hereby agree to the joint filing on behalf of each of them of any filing required by such party under Section 13 of the Exchange Act or any rule or regulation thereunder (including |
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| February 24, 2023 |
US67644C1045 / OCEAN BIOMEDICAL INC-CL A / Aesther Healthcare Sponsor, LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 schedule 13d Under The Securities Exchange Act Of 1934 (Amendment No. )* Ocean Biomedical, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 67644C104 (CUSIP Number) Aesther Healthcare Sponsor, LLC Attn: Suren Ajjarapu 515 Madison Avenue, Suite 8078 New York, New York 10022 (646) 90 |
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| February 24, 2023 |
US67644C1045 / OCEAN BIOMEDICAL INC-CL A / Poseidon Bio, LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 schedule 13d Under The Securities Exchange Act Of 1934 (Amendment No. )* Ocean Biomedical, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 67644C104 (CUSIP Number) Poseidon Bio, LLC Attn: Dr. Chirinjeev Kathuria 19W060 Avenue LaTour Oak Brook, IL 60523 (401) 444-7375 with a copy t |
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| February 24, 2023 |
Power of Attorney of Poseidon Bio, LLC, dated January 30, 2023. EX-99.6 3 ex99-6.htm Exhibit 99.6 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Kate L. Bechen, Thomas S. Vaughn, Joseph R. DeHondt, Timothy B. Caprez, Robin K. Lehninger, Julie A. D’Angelo, Katherine E. Spiser, or Hallie D. Heath, or any of them acting singly and with full power of substitution, as the undersigned’s true and lawful atto |
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| February 24, 2023 |
Exhibit 99.9 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder (the “Exchange Act”), the undersigned hereby agree to the joint filing on behalf of each of them of any filing required by such party under Section 13 of the Exchange Act or any rule or regulation thereunder (including any amendment, resta |
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| February 24, 2023 |
Power of Attorney of Surendra K. Ajjarapu, dated January 30, 2023. EX-99.7 2 ex99-7.htm Exhibit 99.7 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Kate L. Bechen, Thomas S. Vaughn, Joseph R. DeHondt, Timothy B. Caprez, Robin K. Lehninger, Julie A. D’Angelo, Katherine E. Spiser, or Hallie D. Heath, or any of them acting singly and with full power of substitution, as the undersigned’s true and lawful atto |
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| February 17, 2023 |
SC 13G/A 1 cohenco-aeha021523a1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ocean Biomedical, Inc. (Name of Issuer) Common stock, par value $0.0001 per share (Title of Class of Securities) 67644C104 (CUSIP Number) February 15, 2023 (Date of Event Which Requires Filing of this Statement) Check |
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| February 17, 2023 |
EX-2.2 3 ex2-2.htm Exhibit 2.2 |
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| February 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 17, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commissio |
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| February 17, 2023 |
EX-2.1 2 ex2-1.htm Exhibit 2.1 |
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| February 17, 2023 |
EX-2.3 4 ex2-3.htm Exhibit 2.3 |
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| February 15, 2023 |
EX-2.2 2 ex2-2.htm Exhibit 2.2 |
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| February 15, 2023 |
EX-10.71 36 ex10-71.htm Exhibit 10.71 |
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| February 15, 2023 |
EX-10.57 22 ex10-57.htm Exhibit 10.57 |
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| February 15, 2023 |
EX-10.40 5 ex10-40.htm Exhibit 10.40 |
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| February 15, 2023 |
EX-10.27 30 ex10-27.htm Exhibit 10.27 |
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| February 15, 2023 |
Exhibit 10.25 |
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| February 15, 2023 |
EX-10.19 22 ex10-19.htm Exhibit 10.19 |
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| February 15, 2023 |
EX-10.63 28 ex10-63.htm Exhibit 10.63 |
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| February 15, 2023 |
EX-99.1 2 ex99-1.htm Exhibit 99.1 Ocean Biomedical Debuts as Publicly Traded Company Focused on Accelerating the Commercialization of Innovative Assets from Research Universities and Medical Centers Completes business combination with Aesther Healthcare Acquisition Corp. Ocean Biomedical stock will trade on Nasdaq under ticker symbol “OCEA” Providence, RI and New York, NY Feb. 15, 2023 – Ocean Bio |
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| February 15, 2023 |
Exhibit 10.69 |
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| February 15, 2023 |
EX-10.44 9 ex10-44.htm Exhibit 10.44 |
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| February 15, 2023 |
EX-10.32 35 ex10-32.htm Exhibit 10.32 |
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| February 15, 2023 |
EX-10.21 24 ex10-21.htm Exhibit 10.21 |
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| February 15, 2023 |
EX-10.2 6 ex10-2.htm Exhibit 10.2 |
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| February 15, 2023 |
EX-10.12 15 ex10-12.htm Exhibit 10.12 |
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| February 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commissio |
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| February 15, 2023 |
EX-10.26 29 ex10-26.htm Exhibit 10.26 |
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| February 15, 2023 |
EX-10.18 21 ex10-18.htm Exhibit 10.18 |
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| February 15, 2023 |
EX-10.13 16 ex10-13.htm Exhibit 10.13 |
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| February 15, 2023 |
EX-10.10 13 ex10-10.htm Exhibit 10.10 |
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| February 15, 2023 |
EX-10.24 27 ex10-24.htm Exhibit 10.24 |
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| February 15, 2023 |
Exhibit 10.4 |
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| February 15, 2023 |
EX-10.61 26 ex10-61.htm Exhibit 10.61 |
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| February 15, 2023 |
EX-10.35 38 ex10-35.htm Exhibit 10.35 |
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| February 15, 2023 |
EX-10.28 31 ex10-28.htm Exhibit 10.28 |
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| February 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment no. 1 CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorpo |
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| February 15, 2023 |
Exhibit 10.50 |
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| February 15, 2023 |
EX-10.5 9 ex10-5.htm Exhibit 10.5 |
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| February 15, 2023 |
EX-10.47 12 ex10-47.htm Exhibit 10.47 |
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| February 15, 2023 |
Exhibit 10.43 |
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| February 15, 2023 |
EX-10.20 23 ex10-20.htm Exhibit 10.20 |
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| February 15, 2023 |
EX-10.14 17 ex10-14.htm Exhibit 10.14 |
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| February 15, 2023 |
EX-10.45 10 ex10-45.htm Exhibit 10.45 |
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| February 15, 2023 |
Exhibit 10.53 |
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| February 15, 2023 |
EX-10.62 27 ex10-62.htm Exhibit 10.62 |
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| February 15, 2023 |
EX-10.66 31 ex10-66.htm Exhibit 10.66 |
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| February 15, 2023 |
EX-10.9 12 ex10-9.htm Exhibit 10.9 |
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| February 15, 2023 |
EX-10.15 18 ex10-15.htm Exhibit 10.15 |
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| February 15, 2023 |
EX-10.3 7 ex10-3.htm Exhibit 10.3 |
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| February 15, 2023 |
EX-10.72 37 ex10-72.htm Exhibit 10.72 |
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| February 15, 2023 |
EX-10.67 32 ex10-67.htm Exhibit 10.67 |
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| February 15, 2023 |
Exhibit 10.56 |
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| February 15, 2023 |
EX-10.38 3 ex10-38.htm Exhibit 10.38 |
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| February 15, 2023 |
Exhibit 10.31 |
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| February 15, 2023 |
Exhibit 10.29 |
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| February 15, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2023 Ocean Biomedical, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-40793 87-1309280 (State or other jurisdiction of incorporation) (Commissio |
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| February 15, 2023 |
EX-10.1 5 ex10-1.htm Exhibit 10.1 |
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| February 15, 2023 |
EX-10.37 2 ex10-37.htm Exhibit 10.37 |
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| February 15, 2023 |
Exhibit 10.48 |
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| February 15, 2023 |
EX-10.49 14 ex10-49.htm Exhibit 10.49 |
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| February 15, 2023 |
Exhibit 10.22 |
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| February 15, 2023 |
EX-10.33 36 ex10-33.htm Exhibit 10.33 |
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| February 15, 2023 |
EX-10.42 7 ex10-42.htm Exhibit 10.42 |
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| February 15, 2023 |
EX-10.30 33 ex10-30.htm Exhibit 10.30 |
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| February 15, 2023 |
EX-10.7 10 ex10-7.htm Exhibit 10.7 |
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| February 15, 2023 |
EX-10.51 16 ex10-51.htm Exhibit 10.51 |
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| February 15, 2023 |
EX-10.54 19 ex10-54.htm Exhibit 10.54 |
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| February 15, 2023 |
EX-10.59 24 ex10-59.htm Exhibit 10.59 |
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| February 15, 2023 |
Exhibit 10.8 |
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| February 15, 2023 |
EX-10.36 39 ex10-36.htm Exhibit 10.36 |
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| February 15, 2023 |
EX-10.64 29 ex10-64.htm Exhibit 10.64 |
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| February 15, 2023 |
EX-10.60 25 ex10-60.htm Exhibit 10.60 |
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| February 15, 2023 |
EX-3.2 4 ex3-2.htm Exhibit 3.2 |
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| February 15, 2023 |
EX-21.1 39 ex21-1.htm Exhibit 21.1 |
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| February 15, 2023 |
Exhibit 16.1 February 13, 2023 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 We have read the statements under Item 4.01 of the Current Report on Form 8-K of Aesther Healthcare Acquisition Corp. to be filed with the Securities and Exchange Commission on or about February 14, 2023. We agree with all statements pertaining to us. We have no basis on which to agree or |
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| February 15, 2023 |
EX-10.70 35 ex10-70.htm Exhibit 10.70 |
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| February 15, 2023 |
Exhibit 10.68 |
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| February 15, 2023 |
Exhibit 10.55 |
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| February 15, 2023 |
EX-10.41 6 ex10-41.htm Exhibit 10.41 |
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| February 15, 2023 |
Exhibit 10.23 |
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| February 15, 2023 |
EX-10.11 14 ex10-11.htm Exhibit 10.11 |
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| February 15, 2023 |
EX-10.34 37 ex10-34.htm Exhibit 10.34 |
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| February 15, 2023 |
EX-10.39 4 ex10-39.htm Exhibit 10.39 |
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| February 15, 2023 |
EX-10.46 11 ex10-46.htm Exhibit 10.46 |
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| February 15, 2023 |
EX-10.52 17 ex10-52.htm Exhibit 10.52 |
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| February 15, 2023 |
EX-10.58 23 ex10-58.htm Exhibit 10.58 |
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| February 15, 2023 |
Exhibit 10-65 |
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| February 15, 2023 |
Exhibit 10.16 |
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| February 15, 2023 |
EX-10.17 20 ex10-17.htm Exhibit 10.17 |
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| February 15, 2023 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Exhibit 99.1 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Introduction The following unaudited pro forma combined financial information presents the combination of the financial information of Aesther Healthcare Acquisition Corp. (“Aesther” or “AHAC”), n/k/a Ocean Biomedical, Inc. and Ocean Biomedical, Inc., n/k/a Ocean Biomedical Holdings, Inc. (“Ocean Biomedical” or “Legacy Ocean |
