Caryl Baron - Jun 9, 2023 Form 4 Insider Report for SeaStar Medical Holding Corp (ICU)

Role
Interim CFO
Signature
/s/ Eric Schlorff, as attorney-in-fact
Stock symbol
ICU
Transactions as of
Jun 9, 2023
Transactions value $
-$7,949
Form type
4
Date filed
6/13/2023, 04:01 PM
Previous filing
Apr 10, 2023
Next filing
Aug 17, 2023

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 +56.9K +106.91% $0.00 110K Jun 9, 2023 Direct F1, F2
transaction ICU Common Stock, par value $0.0001 per share Tax liability -$7.95K -15.1K -13.69% $0.53 95K Jun 9, 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) 16.6K Jun 9, 2023 Common Stock 16.6K $1.84 Direct F4
holding ICU Stock Option (Right to Buy) 4.8K Jun 9, 2023 Common Stock 4.8K $10.00 Direct F5
holding ICU Stock Option (Right to Buy) 19.7K Jun 9, 2023 Common Stock 19.7K $0.55 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.