0001493152-23-005543.txt : 20230217 0001493152-23-005543.hdr.sgml : 20230217 20230217202407 ACCESSION NUMBER: 0001493152-23-005543 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230215 FILED AS OF DATE: 20230217 DATE AS OF CHANGE: 20230217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PETERSON MICHAEL L CENTRAL INDEX KEY: 0001293970 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40793 FILM NUMBER: 23644911 MAIL ADDRESS: STREET 1: 17 CANARY COURT CITY: DANVILLE STATE: CA ZIP: 94526 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ocean Biomedical, Inc. CENTRAL INDEX KEY: 0001869974 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 871309280 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 515 MADISON AVE SUITE 8078 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (646) 908-2658 MAIL ADDRESS: STREET 1: 515 MADISON AVE SUITE 8078 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Ocean Biomedical, Inc./DE DATE OF NAME CHANGE: 20230214 FORMER COMPANY: FORMER CONFORMED NAME: Aesther Healthcare Acquisition Corp. DATE OF NAME CHANGE: 20210628 4 1 ownership.xml X0306 4 2023-02-15 0 0001869974 Ocean Biomedical, Inc. OCEA 0001293970 PETERSON MICHAEL L 515 MADISON AVENUE, SUITE 8078 NEW YORK NY 10022 1 0 0 0 Stock Option (right to buy) 10 2023-02-15 4 A 0 75000 0 A 2033-02-15 Common Stock 75000 75000 D Represents a right to purchase 75,000 shares of the common stock, par value $0.0001 per share (collectively, the "Option Shares"), of Ocean Biomedical, Inc. (the "Issuer") upon the exercise of a ten-year option granted to the Reporting Person as a non-employee director of the Issuer on February 15, 2023 under the Issuer's 2022 Stock Option and Incentive Plan. This option becomes exercisable in 36 monthly installments beginning on March 15, 2023, with 2,083 Option Shares becoming exercisable on each of the first 35 installments and the remaining 2,095 Option Shares becoming exercisable on the final installment, subject to the Reporting Person remaining in service as a member of the Issuer's board of directors on each installment date. This option is exercisable at an exercise price per Option Share equal to the greater of (i) $10, or (ii) the closing trading price of the Issuer's common stock on February 15, 2023, which was $6.06. Exhibit List - Exhibit 24.1: Power of Attorney (Michael L. Peterson) /s/ Katherine E. Spiser, as attorney-in-fact for Michael L. Peterson 2023-02-17 EX-24.1 2 ex24-1.htm

 

Exhibit 24.1

 

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)prepare and execute for and on behalf of the undersigned Forms 3, 4, and 5 and Schedules 13D and 13G in accordance with Sections 13 and 16(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules promulgated thereunder, as applicable, and any other forms or reports the undersigned may be required to file in connection with the undersigned’s ownership, acquisition, or disposition of securities of Ocean Biomedical, Inc. (the “Company”);
  
(2)do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute any such Form 3, 4, or 5, Schedule 13D or 13G, or other form or report, and to timely file such form or report with the United States Securities and Exchange Commission and any stock exchange or similar authority; and
  
(3)take any other action of any type whatsoever in connection with the foregoing, which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.

 

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity at the request of the undersigned, is not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 13 or Section 16 of the Exchange Act.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, or 5 or Schedules 13D or 13G with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

 

 
 

 

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of January 30, 2023.

 

  /s/ Michael L. Peterson
  Michael L. Peterson

 

[Signature Page to Power of Attorney]