# EDGAR Filing Document

**Accession Number:** 0001869974
**File Stem:** 0001493152-23-008008
**Filing Date:** 2023-3
**Character Count:** 8383
**Document Hash:** f7c22b9db9895c705da76bafa36c5db3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-008008.hdr.sgml**: 20230317

**ACCESSION NUMBER**: 0001493152-23-008008

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 49

**CONFORMED PERIOD OF REPORT**: 20230316

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230317

**DATE AS OF CHANGE**: 20230317

**FILER**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40793
- **FILM NUMBER:** 23740716

**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="utf-8"?

**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): **March 16, 2023**

**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 No.) | (I.R.S. Employer<br> Identification No.) |

---

**55 Claverick St., Room 325**

**Providence, RI 02903**

(Address of Principal Executive Offices)

**(401) 444-7375**

(Registrant's Telephone Number)

**N/A**

(Former Name or Former Address, if Changed Since Last Report)

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 (see General Instruction A.2. below):

☐ 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:

---

| | | |
|:---|:---|:---|
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
| **Common stock, par value $0.0001 per share** | **OCEA** | **The Nasdaq Stock Market LLC** |
| **Warrants, each warrant exercisable for one share of common stock at an exercise price of $11.50** | **OCEAW** | **The Nasdaq Stock Market LLC** |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§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 7.01.** | **Regulation FD Disclosure.** |

---

Ocean Biomedical, Inc. (the "<u>Company</u>") is furnishing this Current Report on Form 8-K (this "<u>Current Report</u>") in connection with the disclosure of information about the Company in the form of an investor presentation (the "<u>Investor Presentation</u>"), which the Company prepared and intends to present at various meetings with analysts, potential investors, and other interested parties. A copy of the Investor Presentation is attached hereto as Exhibit 99.1 and is incorporated into this Item 7.01 by reference. On March 17, 2023, the Company posted the Investor Presentation to the "Investor Relations" section of its website, which is accessible at <u>www.investors.oceanbiomedical.com</u>.

The information included in the Investor Presentation is summary information that should be considered in the context of the Company's filings with the Securities and Exchange Commission (the "<u>SEC</u>") and other public announcements the Company has made or may make by press release or otherwise from time to time. The Investor Presentation speaks as of the date of this Current Report. By furnishing this Current Report and the Investor Presentation, the Company makes no admission as to the materiality of any information in the Investor Presentation. While the Company may elect to update the Investor Presentation in the future to reflect events and circumstances that occur or exist after the date of this Current Report, the Company expressly disclaims any obligation to do so.

The information in this Current Report is being furnished under Item 7.01 and shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "<u>Exchange Act</u>"), or otherwise subject to the liabilities of such section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing. The Investor Presentation contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995, as amended. As discussed in the second slide of the Investor Presentation entitled "Forward-Looking Statements," forward-looking statements are based on the Company's expectations and involve risks and uncertainties that could cause the Company's actual results to differ materially from those set forth in the statements. These risks are discussed in the Company's filings with the SEC, including in the Company's Annual Report on Form 10-K for the year ended December 31, 2021 and the Company's Quarterly Reports on Form 10-Q, and are described in the "Risk Factors" section of the Company's definitive proxy statement, filed by the Company with the SEC on January 12, 2023, and other documents to be filed by the Company from time to time with the SEC, which are and will be available at <u>www.sec.gov</u>.

---

| | |
|:---|:---|
| **Item 9.01.** | **Financial Statements and Exhibits.** |

---

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(a)** Not
 applicable.

**(b)** Not
 applicable.

**(c)** Not
 applicable.

**(d)** Exhibits.

---

| | |
|:---|:---|
| **Exhibit No.** | **Description.** |
| 99.1 | [Investor Presentation, dated March 16, 2023.](ex99-1.htm) |
| 104 | Cover Page Interactive Data File (embedded with the Inline XBRL). |

---

**SIGNATURES**

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.

---

| | |
|:---|:---|
| **OCEAN BIOMEDICAL, INC.** | **OCEAN BIOMEDICAL, INC.** |
| By: | */s/ Elizabeth Ng* |
|  | Elizabeth Ng |
|  | Chief Executive Officer |

---

Date: March 17, 2023

## Exhibit 99.1

**Exhibit 99.1**

![](ex99-1_001.jpg)

![](ex99-1_002.jpg)

![](ex99-1_003.jpg)

![](ex99-1_004.jpg)

![](ex99-1_005.jpg)

![](ex99-1_006.jpg)

![](ex99-1_007.jpg)

![](ex99-1_008.jpg)

![](ex99-1_009.jpg)

![](ex99-1_010.jpg)

![](ex99-1_011.jpg)

![](ex99-1_012.jpg)

![](ex99-1_013.jpg)

![](ex99-1_014.jpg)

![](ex99-1_015.jpg)

![](ex99-1_016.jpg)

![](ex99-1_017.jpg)

![](ex99-1_018.jpg)

![](ex99-1_019.jpg)

![](ex99-1_020.jpg)

![](ex99-1_021.jpg)

![](ex99-1_022.jpg)

![](ex99-1_023.jpg)

![](ex99-1_024.jpg)

![](ex99-1_025.jpg)

![](ex99-1_026.jpg)

![](ex99-1_027.jpg)

![](ex99-1_028.jpg)

![](ex99-1_029.jpg)

![](ex99-1_030.jpg)

![](ex99-1_031.jpg)

![](ex99-1_032.jpg)

![](ex99-1_033.jpg)

![](ex99-1_034.jpg)

![](ex99-1_035.jpg)