Ajjarapu Surendra K's Form 4 filing
Ocean Biomedical, Inc. (OCEA) · filed Mar 2, 2023
- Accession no.
- 0001493152-23-006622
- Filed
- Mar 2, 2023, 9:55 PM ET
- Trade date
- Feb 14-28, 2023
- Filing delay
- 16 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 5 derivative transactions. It was filed 16 days after the trade, past the 2-business-day deadline.
This filing was later replaced by the amendment 0001493152-23-008972 (Mar 24, 2023). Trade tables on this site use the amended version.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Ajjarapu Surendra KCIK 0001368298 | Director, 10% Owner |
| Aesther Healthcare Sponsor, LLCCIK 0001884003 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 28, 2023 | Common Stock, par value $0.0001 | JOtherDisposed | −2,625,000 | – | – | 1,365,000 | Indirect | |
| Feb 28, 2023 | Common Stock, par value $0.0001 | JOtherAcquired | +469,300 | – | – | 469,300 | Indirect | |
| Feb 28, 2023 | Common Stock, par value $0.0001 | JOtherAcquired | +258,200 | – | – | 258,200 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 14, 2023 | Class A Common Stock | PPurchaseAcquired | +5,411,000 | $1.00 | +$5,411,000 | 5,411,000 | Indirect | |
| Feb 14, 2023 | Class A Common Stock | JOtherDisposed | −5,411,000 | – | – | 0 | Indirect | |
| Feb 14, 2023 | Common Stock | JOtherAcquired | +5,411,000 | – | – | 5,411,000 | Indirect | |
| Feb 28, 2023 | Common Stock | JOtherDisposed | −5,411,000 | – | – | 0 | Indirect | |
| Feb 28, 2023 | Common Stock | JOtherAcquired | +1,291,000 | – | – | 1,291,000 | Indirect |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.