---
schema_version: "secwatch.filing_event.v1"
accession: "0001493152-24-015820"
form_type: "8-K"
ticker: "OCEA"
cik: "0001869974"
company_name: "Ocean Biomedical, Inc."
filed_at: "2024-04-24T23:59:59+00:00"
generated_at: "2026-06-03T09:52:14.702289+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.65
calibrated_materiality_score: 0.65
confidence: "high"
source: SEC EDGAR
---

# Ocean Biomedical receives Nasdaq deficiency notice for late 10-K filing; must file by Oct 14, 2024

## Summary
- Received Nasdaq notice on April 18, 2024 for non-compliance with Listing Rule 5250(c)(1) due to late filing of Form 10-K for FY2023.
- Must submit a compliance plan by June 14, 2024 and file delinquent Form 10-K by October 14, 2024 to regain listing compliance.
- No immediate effect on stock trading, but further delays could impact listing; company intends to file as soon as practicable.
- Delay stems from previously disclosed issues with amended 10-Qs for first two quarters and 10-Q for third quarter of 2023.

## SEC filing metadata
- accession: 0001493152-24-015820
- form_type: 8-K
- ticker: OCEA
- cik: 0001869974
- company_name: Ocean Biomedical, Inc.
- filed_at: 2024-04-24T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.65
- calibrated_materiality_score: 0.65
- confidence: high
- sec_items: 3.01, 7.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1869974/000149315224015820/0001493152-24-015820-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1869974/000149315224015820/form8-k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001493152-24-015820
- JSON: https://secwatch.observer/filing/0001493152-24-015820.json
- Plain text: https://secwatch.observer/filing/0001493152-24-015820.txt

## Key facts
- Listing & Compliance Notices
  Ocean Biomedical, Inc. received a nasdaq noncompliance notice notice regarding late filing (rules 5250(c)(1)).
  - Exchange: nasdaq
  - Notice: noncompliance notice
  - Deficiency: late filing
  - Rules: 5250(c)(1)
  source text: April 18, 2024, from the Nasdaq Listing Qualifications Department (“ Nasdaq ”) indicating that the Company remains in non-compliance with the timely filing requirement for continued listing under Nasdaq Listing Rule 5250(c)(1), which requires listed companies to timely file all required periodic reports with the SEC. The Notice will have no immediate effect on the listing or trading of the Company’s common stock, although there can be no assurances that further delays in the filing of the Form 10-K will not have an impact on the listing or trading of the Company’s common stock. Nasdaq indicate
  evidence_url: https://www.sec.gov/Archives/edgar/data/1869974/000149315224015820/0001493152-24-015820-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.