Ocean Biomedical, Inc.

Overview

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• TickerOCEA on OTC¹
• IndustryPharmaceutical Preparations¹
• HeadquartersNew York, New York¹
• Incorporated inDE²
• Business address515 Madison Ave Suite 8078, New York, Ny 10022²
• Filer category, Emerging growth company²
• Legal formCorporation

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“Ocean Biomedical,” “we,” “us,” “our” and similar terms refer to Ocean Biomedical, Inc.³ From its latest annual report

Corporate structure

Ocean Biomedical, Inc. sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Built from major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What Ocean Biomedical, Inc. reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Properties, in its own words

Our executive offices are located at 55 Claverick St., Room 325, Providence, RI 02903. We do not have any manufacturing facilities or personnel at this time. We currently rely, and expect to continue to rely, on contract manufacturing organizations for the manufacture of our product candidates undergoing preclinical testing, as well as for clinical testing and commercial manufacturing if our product candidates receive marketing approval. Our research and development efforts have taken place in state-of-the-art facilities at our academic partners, principally at Brown University, which are being used under the sponsored research agreements. We anticipate relying on these facilities going forward through sponsored research arrangements with Brown University and with other university partners. In addition, we expect to access laboratory facilities and resources through various contract research organization partners such as Lonza Group AG, with whom we are currently engaged.

Item 2 of the 10-K filed Apr 8, 2025.³

Leadership

Who has led Ocean Biomedical, Inc., and when. Pick a name to see everywhere that person has worked.

• Chief executive officerElizabeth Ng Feb 17, 2023 to Feb 17, 2023¹⁰
• Chief executive officerSurendra K. Ajjarapu Sep 20, 2021 to Dec 16, 2021¹¹
• Chief financial officerGurinder S. Kalra Feb 17, 2023 to Feb 17, 2023¹²
• Chief financial officerHoward A. Doss Sep 20, 2021 to Sep 20, 2021¹³

Named in SEC Form D filings

People the company listed in its private-offering notices.

• Executive OfficerRobert Sweeney named Jun 15, 2023²⁶
• DirectorChirinjeev Kathuria named Jun 15, 2023²⁶

Former names

• Ocean Biomedical, Inc./DEFeb 15, 2023 to Feb 15, 2023²
• Aesther Healthcare Acquisition Corp.Jul 19, 2021 to Feb 14, 2023²

Timeline

1. Aug 5, 20258-K Listing notice or transfer; Executive or director change; Other events²⁷
2. Jul 23, 20258-K Listing notice or transfer²⁸
3. Jul 16, 20258-K Ended a material agreement²⁹
4. Jun 13, 20258-K Ended a material agreement³⁰
5. Apr 23, 20258-K Listing notice or transfer; Executive or director change; Other events³¹
6. Apr 1, 20258-K Shareholder vote³²
7. Mar 26, 20258-K Other events³³
8. Mar 20, 20258-K Listing notice or transfer³⁴
9. Mar 10, 20258-K Executive or director change³⁵
10. Feb 26, 20258-K Unregistered sale of shares; Bylaws or fiscal year changed³⁶
11. Feb 21, 20258-K Bylaws or fiscal year changed³⁷
12. Feb 12, 20258-K Unregistered sale of shares; Other events³⁸
13. Feb 17, 2023New chief executive Elizabeth Ng becomes CEO¹⁰
14. Sep 20, 2021New chief executive Surendra K. Ajjarapu becomes CEO¹¹

Filings

232 filings to the SEC since October 2021: 5 annual reports, 13 quarterly reports, 78 major events, 28 insider forms, 34 large holders, 1 private raises, 73 other. The latest 20:

1. Aug 14, 2025NT 10-Q EDGAR
2. Aug 8, 202525-NSE EDGAR
3. Aug 5, 20258-K EDGAR
4. Jul 23, 20258-K EDGAR
5. Jul 16, 20258-K EDGAR
6. Jun 13, 20258-K EDGAR
7. May 15, 202510-Q EDGAR
8. Apr 29, 202510-K/A ANNUAL REPORT EDGAR
9. Apr 23, 20258-K EDGAR
10. Apr 8, 202510-K EDGAR
11. Apr 1, 20258-K EDGAR
12. Apr 1, 2025NT 10-K EDGAR
13. Mar 26, 20258-K EDGAR
14. Mar 20, 20258-K EDGAR
15. Mar 10, 2025DEFA14A EDGAR
16. Mar 10, 20258-K EDGAR
17. Feb 26, 20258-K EDGAR
18. Feb 26, 2025DEF 14A EDGAR
19. Feb 21, 20258-K EDGAR
20. Feb 14, 2025PRE 14A EDGAR

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

• Ayrton Capital LLCSCHEDULE 13G/A, 2 filings Feb 14, 2024 to Feb 13, 2025³⁹
• Lighthouse Investment Partners, LLCSC 13G/A, 2 filings Feb 14, 2023 to Feb 14, 2024⁴⁰
• ATW SPAC MANAGEMENT LLCSC 13G/A, 2 filings Feb 14, 2022 to Feb 13, 2024⁴¹
• BOOTHBAY FUND MANAGEMENT, LLCSC 13G/A, 3 filings Feb 4, 2022 to Feb 13, 2024⁴²
• First Trust Capital Management L.P.SC 13G/A, 2 filings Feb 14, 2023 to Feb 12, 2024⁴³
• Polar Asset Management Partners Inc.SC 13G/A, 2 filings Feb 9, 2023 to Feb 9, 2024⁴⁴
• Saba Capital Management, L.P.SC 13G/A, 3 filings Feb 14, 2022 to Feb 7, 2024⁴⁵
• Weiss Asset Management LPSC 13G/A, 3 filings Feb 7, 2022 to Jan 26, 2024⁴⁶
• Aesther Healthcare Sponsor, LLCSC 13D/A, 3 filings Feb 7, 2022 to Mar 24, 2023⁴⁷
• Poseidon Bio, LLCSC 13D, 1 filing Feb 24, 2023⁴⁸
• Vellar Opportunities Fund Master, Ltd.SC 13G/A, 2 filings Feb 17, 2023⁴⁹
• Shaolin Capital Management LLCSC 13G, 2 filings Feb 11, 2022 to Feb 14, 2023⁵⁰
• Beryl Capital Management LLCSC 13G/A, 2 filings Feb 11, 2022 to Feb 10, 2023⁵¹
• Hudson Bay Capital Management LPSC 13G/A, 2 filings Feb 7, 2022 to Feb 6, 2023⁵²
• Mizuho Financial GroupSC 13G, 1 filing Feb 14, 2022⁵³
• Space Summit Capital LLCSC 13G/A, 1 filing Feb 3, 2022⁵⁴
• Lawrence FeisSC 13G/A, 1 filing Dec 10, 2021⁵⁵

Money raised

Private offerings the company reported to the SEC on Form D.

1. May 25, 2023Raised $7.6 million in a private offering of debt Form D: $27 million offered in all Form D

SEC filer profile

How Ocean Biomedical, Inc. is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

• Name on EDGAROcean Biomedical, Inc.¹
• CIK0001869974
• Employer ID (EIN)87-1309280³
• Filer statusNon-accelerated filer an emerging growth company; a smaller reporting company; a shell company³
• Incorporated inDelaware³
• Fiscal year endsDecember 31¹
• Industry code (SIC)2834 Pharmaceutical Preparations¹
• SEC reviewing officeOffice of Life Sciences, Division of Corporation Finance¹
• Business address515 Madison Ave Suite 8078, New York, NY 10022¹
• Phone(646) 908-2658¹
• Shares outstanding232,365,143 as of May 15, 2025⁶
• Public float$5.5M as of Jun 30, 2024³
• AuditorBerkowitz Pollack Brant Advisors + CPAs, New York, New York PCAOB ID 34; no auditor attestation of internal control over financial reporting³
• On EDGAR sinceJul 19, 2021¹
• Filings255 in all: 8-K (77), 425 (20), 3 (19), SC 13G (17), SC 13G/A (17), 4 (15), CORRESP (12), 10-Q (11)¹
  All 34 form types

  UPLOAD (11), PRER14A (5), 10-K (4), 424B3 (4), NT 10-Q (4), S-1/A (4), 8-K/A (3), DEF 14A (3), EFFECT (3), PRE 14A (3), S-1 (3), 10-Q/A (2), 25-NSE (2), NT 10-K (2), PREM14A (2), SC 13D (2), 10-K/A (1), 4/A (1), 424B4 (1), 8-A12B (1), CERT (1), D (1), DEFA14A (1), DEFR14A (1), SC 13D/A (1), SCHEDULE 13G/A (1)

• Latest filingsAnnual report (10-K) Apr 8, 2025
  Quarterly report (10-Q) May 15, 2025
  Proxy statement (DEF 14A) Feb 26, 2025
  Latest 8-K (8-K) Aug 5, 2025

Securities registered for trading

From the cover page of the 10-K filed Apr 8, 2025 (Section 12(b) of the Exchange Act).³

Risk factors and legal proceedings

Legal proceedings

From time to time, we may become involved in legal proceedings relating to claims arising from the ordinary course of business. Our management believes that there are currently no claims or actions pending against us, the ultimate disposition of which could have a material adverse effect on our results of operations, financial condition or cash flows, except as set forth in the financial statements included in this Annual Report.

The opening of Item 3, Legal Proceedings.³