SeaStar Medical Files 2023 Annual Report Amendment

TL;DR

SeaStar Medical filed an amendment to its 2023 10-K. Get the latest on their financials.

AI Summary

SeaStar Medical Holding Corp. filed an amendment (No. 2) to its 2023 annual report on July 3, 2024. The company, incorporated in Delaware with its principal office in Denver, CO, is involved in the surgical and medical instruments sector. This filing relates to its fiscal year ending December 31, 2023.

Why It Matters

This amendment provides updated or corrected information for the company's 2023 fiscal year, which is crucial for investors to have the most accurate financial and operational data.

Risk Assessment

Risk Level: medium — Amendments to SEC filings can indicate restatements or corrections, suggesting potential issues with initial reporting that warrant closer investor scrutiny.

Key Numbers

• 20231231 — Fiscal Year End (The period covered by the annual report.)
• 001-39927 — SEC File Number (Identifies the company's filings with the SEC.)

Key Players & Entities

• SeaStar Medical Holding Corp (company) — Registrant
• 3513 Brighton Blvd., Suite 410, Denver, CO 80216 (location) — Business and Mail Address
• 20231231 (date) — Fiscal Year End
• 001-39927 (filing_id) — Commission File Number
• 853681132 (tax_id) — IRS Employer Identification No.

FAQ

Key Financial Figures

• $0.0001 — nge on which registered Common Stock, $0.0001 par value ICU The Nasdaq Stock Mark
• $11.50 — sable for one share of Common Stock for $11.50 per share ICUCW The Nasdaq Stock Ma

Filing Documents

• icu-20231231.htm (10-K/A) — 165KB
• icu-ex4_5.htm (EX-4.5) — 61KB
• icu-ex4_9.htm (EX-4.9) — 308KB
• icu-ex4_10.htm (EX-4.10) — 264KB
• icu-ex4_11.htm (EX-4.11) — 293KB
• icu-ex4_12.htm (EX-4.12) — 319KB
• icu-ex4_13.htm (EX-4.13) — 164KB
• icu-ex10_39.htm (EX-10.39) — 42KB
• icu-ex31_5.htm (EX-31.5) — 12KB
• icu-ex31_6.htm (EX-31.6) — 12KB
• 0000950170-24-081528.txt ( ) — 2104KB
• icu-20231231.xsd (EX-101.SCH) — 73KB
• icu-20231231_htm.xml (XML) — 11KB

Exhibits, Financial Statement Schedules

Item 15. Exhibits, Financial Statement Schedules. (b) Exhibits. The list of exhibits filed with this Amendment is set forth in the Exhibit Index below. Exhibit Index Exhibit No. Description 1.1 Placement Agency Agreement, dated January 26, 2024, by and among the Company and Maxim Group LLC (incorporated by reference to Exhibit 1.1 of Form 8-K dated January 30, 2024). 2.1 Agreement and Plan of Merger, dated as of April 21, 2022, by and among LMF Acquisition Opportunities, Inc. ("LMAO"), LMF Merger Sub, Inc. and SeaStar Medical, Inc. (incorporated by reference to Exhibit 2.1 to Form 8-K filed by the registrant on April 26, 2022). 3.1 Third Amended and Restated Certificate of Incorporation of SeaStar Medical Holding Corporation, filed with the Secretary of State of Delaware on October 28, 2022 (incorporated by reference to Exhibit 3.1 to Form 8-K filed by the registrant on November 4, 2022). 3.2 Certificate of Amendment to the Third Amended and Restated Certificate of Incorporation of SeaStar Medical Holding Corporation (incorporated by reference to Exhibit 3.1 to Form 8-K filed September 20, 2023). 3.3 Amended and Restated Bylaws of SeaStar Medical Holding Corporation (incorporated by reference to Exhibit 3.2 to Form 8-K filed by the registrant on November 4, 2022). 4.1 Specimen Common Stock Certificate (incorporated by reference to Exhibit 4.1 to Form 8-K filed by the registrant on November 4, 2022). 4.2 Specimen Warrant Certificate (included in Exhibit 4.3). 4.3 Warrant Agreement, dated January 25, 2021, between LMAO and Continental Stock Transfer & Trust Company (incorporated by reference to Exhibit 4.1 to Form 8-K filed by the registrant on January 28, 2021). 4.4 Form of Common Stock Purchase Warrant (incorporated by reference to Exhibit 4.1 to Form 8-K filed by the registrant on March 16, 2023). 4.5**

Description of Securities

Description of Securities 4.6 Form of Pre-Funded Warrant to Purchase Common Stock (incorporated by reference to Exhibit 4.1 of Form 8-K dated January 30, 2024). 4.7 Form of Series A Common Stock Purchase Warrant to Purchase Common Stock (incorporated by reference to Exhibit 4.2 of Form 8-K dated January 30, 2024). 4.8 Form of Series B Common Stock Purchase Warrant to Purchase Common Stock (incorporated by reference to Exhibit 4.3 of Form 8-K dated January 30, 2024). 4.9** Form of Warrant to Purchase Common Stock dated August 7, 2023 4.10** Form of Warrant to Purchase Common Stock dated December 11, 2023 4.11** Form of Warrant to Purchase Common Stock dated January 12, 2024 4.12** Form of Warrant to Purchase Common Stock dated January 24, 2024 4.13** Form of Placement Agent Warrant 10.1 Amended and Restated Registration Rights Agreement, dated as of April 21, 2022, by and among LMAO, SeaStar Medical, Inc., and certain stockholders of SeaStar Medical, Inc. (incorporated by reference to Exhibit 10.1 to Form 8-K filed by the registrant on April 26, 2022). 10.2 Investment Management Trust Agreement, dated January 25, 2021, between LMAO and Continental Stock Transfer & Trust Company, as trustee (incorporated by reference to Exhibit 10.2 to Form 8-K filed by the registrant on January 28, 2021). 10.3 Registration Rights Agreement, dated as of January 25, 2021, by and among LMF Acquisition Opportunities, Inc., SeaStar Medical, Inc. and certain stockholders of SeaStar Medical, Inc. (incorporated by reference to Exhibit 10.3 to Form 8-K filed by the registrant on January 28, 2021). 1 10.4 SeaStar Medical Holding Corporation 2022 Omnibus Incentive Plan (incorporated by reference to Annex D of Form S-4 filed by the registrant on May 16, 2022). 10.5 SeaStar Medical Holding Corporation 2022 Employee Stock Purchase Plan (incorporated by reference to Annex E of Form S-4 filed by the registrant on May 16, 2022). 10.6 Promissor

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized . SeaStar Medical Holding Corporation Date: July 3, 2024 By: /s/ Eric Schlorff Eric Schlorff Chief Executive Officer (Principal Executive Officer) Date: July 3, 2024 By: /s/ David Green David Green Chief Financial Officer (Principal Financial and Accounting Officer)

View Full Filing

View this 10-K/A filing on SEC EDGAR