8-K
filed June 30, 2023, 7:59 PM ET
ticker ICU
CIK 0001831868
regulatory
confidence high
sentiment negative
materiality 0.65
SeaStar Medical Holding Corp (ICU): Nasdaq/NYSE listing notice — SeaStar Medical receives Nasdaq bid price deficiency notice; stockholders approve share issuances
SeaStar Medical Holding Corp
- Closing bid price below $1.00 for 30 consecutive business days; 180-day compliance period until Dec 26, 2023.
- Stockholders elected Andres Lobo and Rick Barnett as Class I directors to serve until 2026.
- Stockholders approved issuance of common shares under convertible notes and equity line of credit per Nasdaq Rule 5635(d).
- Ratified Armanino LLP as independent auditor for fiscal year ending Dec 31, 2023.
Key facts
Extracted from this filing and checked against the source text.
Listing & Compliance Notices
SEC 8-K Item 3.01
confidence 0.9
SeaStar Medical Holding Corp received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).
- Exchange
- nasdaq
- Notice
- deficiency notice
- Deficiency
- minimum bid price
- Rules
- 5550(a)(2)
Exact text from the filing
June 26, 2023, SeaStar Medical Holding Corporation (the “Company”) received a deficiency letter from the Listing Qualifications Department (the “Staff”) of the Nasdaq Stock Market (“Nasdaq”) notifying the Company that, for the preceding 30 consecutive business days, the closing bid price for the Company’s common stock, par value $0.0001 per share (the “Common Stock”) was below the minimum $1.00 per share requirement for continued inclusion on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Bid Price Requirement”). The notification received has no immediate effect on
View on SEC.gov
Shareholder Votes
SEC 8-K Item 5.07
confidence 0.9
SeaStar Medical Holding Corp shareholders approved To elect two Class I Directors to serve until the 2026 annual meeting of stockholders, or until their successors shall have been duly elected and qualified. at the 2023-06-28 meeting.
- Proposal
- director election
- Outcome
- passed
- Meeting
- 2023-06-28
Exact text from the filing
Proposal 1. To elect two Class I Directors to serve until the 2026 annual meeting of stockholders, or until their successors shall have been duly elected and qualified. Nominee Votes For Votes Against Abstentions Broker Non-Votes Andres Lobo 9,629,367 — 289,327 877,015 Rick Barnett 9,626,990 — 291,704 877,015
View on SEC.gov
Shareholder Votes
SEC 8-K Item 5.07
confidence 0.9
SeaStar Medical Holding Corp shareholders approved To approve, for purposes of complying with Nasdaq Listing Rule 5635(d), the full issuance of shares of Common Stock issuable by the Company pursuant to the Convertible Notes (as defined in the proxy statement) and the Warrants (as defined in the proxy statement). at the 2023-06-28 meeting.
- Outcome
- passed
- Meeting
- 2023-06-28
Exact text from the filing
Proposal 2. To approve, for purposes of complying with Nasdaq Listing Rule 5635(d), the full issuance of shares of Common Stock issuable by the Company pursuant to the Convertible Notes (as defined in the proxy statement) and the Warrants (as defined in the proxy statement). Votes For Votes Against Abstentions Broker Non-Votes 9,883,905 27,629 7,160 877,015
View on SEC.gov
Shareholder Votes
SEC 8-K Item 5.07
confidence 0.9
SeaStar Medical Holding Corp shareholders approved To approve, for purposes of complying with Nasdaq Listing Rule 5635(d), the full issuance of shares of Common Stock issuable by the Company pursuant to the Company’s Equity Line of Credit (as defined in the proxy statement). at the 2023-06-28 meeting.
- Outcome
- passed
- Meeting
- 2023-06-28
Exact text from the filing
Proposal 3. To approve, for purposes of complying with Nasdaq Listing Rule 5635(d), the full issuance of shares of Common Stock issuable by the Company pursuant to the Company’s Equity Line of Credit (as defined in the proxy statement). Votes For Votes Against Abstentions Broker Non-Votes 9,883,905 27,629 7,160 877,015
View on SEC.gov
Shareholder Votes
SEC 8-K Item 5.07
confidence 0.9
SeaStar Medical Holding Corp shareholders approved To ratify the appointment of Armanino LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2023. at the 2023-06-28 meeting.
- Proposal
- auditor ratification
- Outcome
- passed
- Meeting
- 2023-06-28
Exact text from the filing
Proposal 4. To ratify the appointment of Armanino LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2023. Votes For Votes Against Abstentions Broker Non-Votes 10,771,442 16,575 7,692 —
View on SEC.gov
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