Ajjarapu Surendra K 的 Form 4 申報
Ocean Biomedical, Inc.（OCEA），2023/3/2 申報
- 申報編號
- 0001493152-23-006622
- 申報時間
- 2023/3/2 21:55 ET
- 交易日
- 2023/2/14-2/28
- 申報延遲
- 16 天遲報
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 3 筆非衍生性交易、5 筆衍生性交易。交易後 16 天才申報，超過 2 個營業日的期限。
這份申報後來被修正申報 0001493152-23-008972（2023/3/24）取代，網站的交易表改用修正後的版本。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Ajjarapu Surendra KCIK 0001368298 | 董事、持股 10% 以上大股東 |
| Aesther Healthcare Sponsor, LLCCIK 0001884003 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/2/14 | Class A Common Stock | P買進取得 | +5,411,000 | $1.00 | +$5,411,000 | 5,411,000 | 間接 | |
| 2023/2/14 | Class A Common Stock | J其他處分 | −5,411,000 | –F12 | – | 0 | 間接 | |
| 2023/2/14 | Common Stock | J其他取得 | +5,411,000 | –F12 | – | 5,411,000 | 間接 | |
| 2023/2/28 | Common Stock | J其他處分 | −5,411,000 | –F13 | – | 0 | 間接 | |
| 2023/2/28 | Common Stock | J其他取得 | +1,291,000 | –F13,F14 | – | 1,291,000 | 間接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F3
These shares were originally shares of AHAC's Class B Common Stock, par value $0.0001 per share (the "Class B Founder Shares"), that the Sponsor owned prior to the Business Combination. In connection with the Closing of the Business Combination, the Class B Founder Shares automatically converted into shares of the Issuer's Class A Common Stock on a one-for-one basis on the Closing Date, and the Class A Common Stock was then reclassified on a one-for-one basis into Common Stock in accordance with the Reclassification. In accordance with an instruction letter to the Sponsor's transfer agent (the "Instruction Letter"), the Sponsor instructed the Transfer Agent to transfer these shares to certain of the Sponsor's members for no consideration (such transaction, the "Transfer").
表 I 有 1 筆交易的價格引用這則附註。
- F5
As part of the Sponsor's Transfer of 2,625,000 shares of Common Stock to its members, Surendra Ajjarapu Revocable Trust 2007 (the "Surendra Trust"), a family trust, acquired 469,300 shares of Common Stock. Sandhya Ajjarapu ("Mrs. Ajjarapu"), Mr. Ajjarapu's wife, is the trustee of the Surendra Trust and is therefore deemed to have a pecuniary interest in the shares held by the Surendra Trust. Because Mrs. Ajjarapu's pecuniary interest in the Surendra Trust is attributable to Mr. Ajjarapu by nature of their spousal relationship, Mr. Ajjarapu is deemed to be the indirect beneficial owner of the shares held by the Surendra Trust.
表 I 有 1 筆交易的價格引用這則附註。
- F7
As part of the Sponsor's Transfer of 2,625,000 shares of Common Stock to its members, the Sandhya Ajjarapu Revocable Trust of 2007 (the "Sandhya Trust"), a family trust, acquired 258,200 shares of Common Stock. Mr. Ajjarapu is the trustee of the Sandhya Trust and maintains investment control over the Sandhya Trust. He is therefore deemed to be the indirect beneficial owner of the shares held by the Sandhya Trust.
表 I 有 1 筆交易的價格引用這則附註。
- F12
Upon the Reclassification that was effected in connection with the Closing of the Business Combination, each share of the Issuer's Class A Common Stock underlying the Private Placement Warrants was reclassified into a share of the Issuer's Common Stock.
表 II 有 2 筆交易的價格引用這則附註。
- F13
On February 28, 2023, in accordance with the Instruction Letter, the Sponsor instructed its transfer agent to distribute the Private Placement Warrants to certain of its members (the "Distribution") for no consideration, as permitted by the Warrant Agreement.
表 II 有 2 筆交易的價格引用這則附註。
- F14
As part of the Distribution, the Sandhya Trust acquired 1,291,000 Private Placement Warrants. Mr. Ajjarapu is the trustee of the Sandhya Trust and maintains investment control over the Sandhya Trust. He is therefore deemed to be the indirect beneficial owner of the securities held by the Sandhya Trust.
表 II 有 1 筆交易的價格引用這則附註。
備註
Exhibit List - Exhibit 24.1: Power of Attorney (Surendra K. Ajjarapu) Exhibit 24.2: Power of Attorney (Aesther Healthcare Sponsor, LLC)