Form D · Biotechnology
Ocean Biomedical, Inc.
Providence, RI · CIK 0001869974
Offering snapshot reported Jun 15, 2023 · SEC filing
- Reported sold
- $7.56M Offering amount: $27M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $7.56M Reported outside-investor minimum
- First sale
- May 25, 2023 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jun 15, 2023 | Initial | $7,560,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Debt, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1.75M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-484276
The total amount remaining to be sold represents the total principal amount of two additional convertible promissory notes that may be issued if and when all closing conditions are satisfied.
The amount above assumes all securities will be issued in the offering. $490,000 in commissions were paid in connection with the initial closing.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Maxim Group LLC | 120708 |
Source: Form D, filed Jun 15, 2023. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Suren Ajjarapu | Director |
| Martin D. Angle | Director |
| Daniel Behr | Executive |
| Michelle Berrey | Director |
| Jack A. Elias | Director |
| Gurinder Kalra | Executive |
| Chirinjeev Kathuria | Director |
| Inderjote Kathuria | Executive |
| Jonathan Kurtis | Director |
| Elizabeth Ng | Director, Executive |
| William Owens | Director |
| Michael Peterson | Director |
| Jerome Ringo | Director |
| Robert Sweeney | Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
55 Claverick Street Room 325
Providence, RI, 02903
Providence, RI, 02903