Caryl Baron - 09 Jun 2023 Form 4 Insider Report for SeaStar Medical Holding Corp (ICU)

Role: Interim CFO
Signature: /s/ Eric Schlorff, as attorney-in-fact
Issuer symbol: ICU
Transactions as of: 09 Jun 2023
Net transactions value: -$7,949
Form type: 4
Filing time: 13 Jun 2023, 16:01:19 UTC
Previous filing: 10 Apr 2023
Next filing: 17 Aug 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	ICU	Common Stock, par value $0.0001 per share	Award	$0	+56,869	+107%	$0.000000	110,061	09 Jun 2023	Direct	F1, F2
transaction	ICU	Common Stock, par value $0.0001 per share	Tax liability	$7,949	-15,070	-14%	$0.5275	94,991	09 Jun 2023	Direct	F2, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
holding	ICU	Stock Option (Right to Buy)						16,621	09 Jun 2023	Common Stock	16,621	$1.84	Direct	F4
holding	ICU	Stock Option (Right to Buy)						4,796	09 Jun 2023	Common Stock	4,796	$10.00	Direct	F5
holding	ICU	Stock Option (Right to Buy)						19,685	09 Jun 2023	Common Stock	19,685	$0.5500	Direct	F6

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Represents fully vested shares of common stock issued to the Reporting Person pursuant to the Issuer's equity incentive plan.
F2	Includes 53,192 shares of the Issuer's common stock subject to restricted stock units (RSUs), all of which will vest, subject to continued service, on April 6, 2024.
F3	Represents shares withheld to satisfy tax withholding obligations.
F4	All options reported herein will vest, subject to continued service, on April 6, 2024.
F5	The option vests with respect to (i) twenty-five percent (25%) of the shares upon completion of one (1) year of service measured from March 30, 2020 and (ii) the balance of the shares subject to the option in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service over the thirty-six (36)-month period measured from March 30, 2021.
F6	The option vests with respect to (i) twenty-five percent (25%) of the shares upon completion of one (1) year of service measured from January 1, 2021 and (ii) the balance of the shares subject to the option in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service over the thirty-six (36)-month period measured from January 1, 2022.