Form 4 for ICU SeaStar Medical Holding Corp
Accepted 2022-11-01 00:00:00 ET · period of report 2022-10-28 · accession 0000899243-22-034702 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-11-01 | 2022-10-28 | ICU | Dow Employees' Pension Plan Trust | 10% | P - Purchase | — | +300.0K | 4.45M | +7% | — |
| D | 2022-11-01 | 2022-10-28 | ICU | Dow Employees' Pension Plan Trust | 10% | A - Grant | — | +4.15M | 4.15M | New | — |
| D | 2022-11-01 | 2022-10-28 | ICU | Dow Employees' Pension Plan Trust | 10% | P - Purchase | — | +300.0K | 300.0K | New | — |
| D | 2022-11-01 | 2022-10-28 | ICU | Dow Employees' Pension Plan Trust | 10% | A - Grant | — | +1,726 | 1,726 | New | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-10-28 | P | A | 300,000 | — | 4,449,841 | D | — | — | (F2) In a concurrent private placement in connection with the Business Combination, the Reporting Person acquired 300,000 shares of Common Stock and warrants to purchase 300,000 shares of Common Stock for an aggregate purchase price of $3,000,000. |
| 2 | Common | Common Stock | 2022-10-28 | A | A | 4,149,841 | — | 4,149,841 | D | — | — | (F1) On October 28, 2022, LMF Acquisition Opportunities, Inc., a Delaware corporation ("LMF"), consummated a business combination (the "Business Combination") by and among LMF, LMF Merger Sub, Inc., a Delaware corporation and directly wholly-owned subsidiary of LMF ("Merger Sub") and SeaStar Medical, Inc., a Delaware corporation ("SeaStar Medical"), pursuant to which SeaStar Medical merged with and into Merger Sub, with SeaStar Medical continuing as the surviving entity in the merger as a wholly-owned subsidiary of LMF, and with LMF changing its name to SeaStar Medical Holding Corporation ("SeaStar Medical Holdings"). As part of the Business Combination each share of SeaStar Medical stock was exchanged for 1.20321 shares of common stock of SeaStar Medical Holdings ("Common Stock"). |
| 3 | Derivative | Warrants (Right to Buy) | 2022-10-28 | P | A | 300,000 | — | 300,000 | D | $11.50 · — to 2027-10-28 | 300,000 Common Stock | (F2) In a concurrent private placement in connection with the Business Combination, the Reporting Person acquired 300,000 shares of Common Stock and warrants to purchase 300,000 shares of Common Stock for an aggregate purchase price of $3,000,000. (F5) The warrants are fully exercisable |
| 4 | Derivative | Warrants (Right to Buy) | 2022-10-28 | A | A | 1,726 | — | 1,726 | D | $10.00 · — to 2025-06-20 | 1,726 Common Stock | (F4) As part of the Business Combination, each SeaStar Medical warrant was exchanged for a warrant to purchase 1.20321 shares of Common Stock. (F3) The warrants are fully exercisable. |