# EDGAR Filing Document

**Accession Number:** 0001869974
**File Stem:** 0001641172-25-020730
**Filing Date:** 2025-7
**Character Count:** 4477
**Document Hash:** 2daaef5cf402461490059f58972b6de8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001641172-25-020730.hdr.sgml**: 20250723

**ACCESSION NUMBER**: 0001641172-25-020730

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20250717

**ITEM INFORMATION**: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

**FILED AS OF DATE**: 20250723

**DATE AS OF CHANGE**: 20250723

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Ocean Biomedical, Inc.
- **CENTRAL INDEX KEY:** 0001869974
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 871309280
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40793
- **FILM NUMBER:** 251143913

**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

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**PURSUANT TO SECTION 13 OR 15(d) OF THE**

**SECURITIES EXCHANGE ACT OF 1934**

Date of Report (Date of earliest event reported): July 17, 2025

**OCEAN BIOMEDICAL, INC.**

(Exact name of registrant as specified in its charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-40793** | **87-1309280** |
| (State or other jurisdiction<br> of incorporation) | (Commission<br> File Number) | (IRS Employer<br> Identification No.) |

---

**55 Claverick St., Room 325**

**Providence, RI 02903**

(Address of principal executive offices)

(Zip Code)

Registrant's telephone number, including area code: **(401) 444-7375**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act: None

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (CFR §230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (CFR §240.12b-2 of this chapter). Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 3.01 Notice of Delisting**

On July 17, 2025, Ocean Biomedical, Inc. (the "Company") received the decision of the Nasdaq Listing and Hearing Review Council (the "Listing Council") pursuant to an appeal by the Company. On April 22, 2025, the Nasdaq Hearings Panel (the "Panel") issued a decision to delist the Company's securities from The Nasdaq Stock Market, LLC (the "Exchange" or "Nasdaq") and suspend trading of the Company's shares, effective at the opening of business on April 24, 2025. The Company appealed the Panel's decision to the Listing Council. After considering the written record in this matter, the Listing Council affirms the Panel's decision to delist the Company from the Nasdaq affirming Nasdaq's delist decision letter dated April 22, 2025.

**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: July 23, 2025

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| | |
|:---|:---|
| **OCEAN BIOMEDICAL, INC.** | **OCEAN BIOMEDICAL, INC.** |
|  | |
| By: | */s/ Chirinjeev Kathuria* |
|  | Chirinjeev Kathuria |
|  | Chairman |

---