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8-K: Current report

8-K: Current report

8-K：重大事件
美股SEC公告 ·  07/06 04:17
牛牛AI助理已提取核心訊息
On July 3, 2024, SeaStar Medical Holding Corporation notified The Nasdaq Stock Market LLC of a possible violation of Nasdaq Listing Rule 5635(d)(2) concerning the issuance of shares without shareholder approval. The issue arose from the conversion of convertible notes and exercise of warrants issued to an institutional investor. These financial instruments were part of a Securities Purchase Agreement from March 15, 2023, which was approved by shareholders at the Annual Meeting on June 28, 2023. Amendments to the agreement on August 7, 2023, and December 11, 2023, involved additional convertible notes and warrants, with adjustments to conversion and exercise prices. SeaStar Medical has requested Nasdaq to review the transactions for compliance and has committed to adhering to Nasdaq's shareholder approval requirements for future securities issuances.
On July 3, 2024, SeaStar Medical Holding Corporation notified The Nasdaq Stock Market LLC of a possible violation of Nasdaq Listing Rule 5635(d)(2) concerning the issuance of shares without shareholder approval. The issue arose from the conversion of convertible notes and exercise of warrants issued to an institutional investor. These financial instruments were part of a Securities Purchase Agreement from March 15, 2023, which was approved by shareholders at the Annual Meeting on June 28, 2023. Amendments to the agreement on August 7, 2023, and December 11, 2023, involved additional convertible notes and warrants, with adjustments to conversion and exercise prices. SeaStar Medical has requested Nasdaq to review the transactions for compliance and has committed to adhering to Nasdaq's shareholder approval requirements for future securities issuances.
2024年7月3日，SeaStar Medical Holding公司通知納斯達克證券交易所可能存在違反納斯達克股票上市規則5635(d)(2)關於未經股東批准發行股份的問題。這個問題源於向機構投資者發行可轉債和認股權證的轉換。這些金融工具是2023年3月15日證券購買協議的一部分，該協議已於2023年6月28日的年會上獲得股東的批准。2023年8月7日和12月11日對協議的修訂涉及額外的可轉債和認股權證，並調整了轉換和行使價格。SeaStar Medical已要求納斯達克審核交易符合要求，並承諾遵守納斯達克的股東批准要求以發行未來的證券。
2024年7月3日，SeaStar Medical Holding公司通知納斯達克證券交易所可能存在違反納斯達克股票上市規則5635(d)(2)關於未經股東批准發行股份的問題。這個問題源於向機構投資者發行可轉債和認股權證的轉換。這些金融工具是2023年3月15日證券購買協議的一部分，該協議已於2023年6月28日的年會上獲得股東的批准。2023年8月7日和12月11日對協議的修訂涉及額外的可轉債和認股權證，並調整了轉換和行使價格。SeaStar Medical已要求納斯達克審核交易符合要求，並承諾遵守納斯達克的股東批准要求以發行未來的證券。
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