ICU

SEC source: 0000929638-23-001153 · form4.xml · derivative · entry 2

Rodgers Bruce M. · CIK 0001653727 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,967

Underlying: Common Stock · 11,967 shares

Expires 2033-04-06

F2 · derivative.exercise_date: All options reported herein will vest, subject to continued service, on the first anniversary of the date of grant.

SEC source: 0000929638-23-001153 · form4.xml · nonDerivative · entry 1

Rodgers Bruce M. · CIK 0001653727 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,978

F1 · shares: Represents the Issuer's common stock subject to restricted stock units (RSUs), all of which will vest on the first anniversary of the date of grant.

SEC source: 0000929638-23-001150 · form4.xml · derivative · entry 2

Collins Allan · CIK 0001950453 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,967

Underlying: Common Stock · 11,967 shares

Expires 2033-04-06

F2 · derivative.exercise_date: All options reported herein will vest, subject to continued service, on the first anniversary of the date of grant.

SEC source: 0000929638-23-001150 · form4.xml · nonDerivative · entry 1

Collins Allan · CIK 0001950453 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,400

F1 · shares: Represents the Issuer's common stock subject to restricted stock units (RSUs), all of which will vest on the first anniversary of the date of grant.

SEC source: 0000929638-23-001149 · form4.xml · derivative · entry 2

Van Heel Kenneth · CIK 0001613111 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,967

Underlying: Common Stock · 11,967 shares

Expires 2033-04-06

F2 · derivative.exercise_date: All options reported herein will vest, subject to continued service, on the first anniversary of the date of grant.

SEC source: 0000929638-23-001149 · form4.xml · nonDerivative · entry 1

Van Heel Kenneth · CIK 0001613111 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,400

F1 · shares: Represents the Issuer's common stock subject to restricted stock units (RSUs), all of which will vest on the first anniversary of the date of grant.

SEC source: 0000929638-23-001146 · form4.xml · derivative · entry 2

Russell Richard D. · CIK 0001634290 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,967

Underlying: Common Stock · 11,967 shares

Expires 2033-04-06

F2 · derivative.exercise_date: All options reported herein will vest, subject to continued service, on the first anniversary of the date of grant.

SEC source: 0000929638-23-001146 · form4.xml · nonDerivative · entry 1

Russell Richard D. · CIK 0001634290 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,978

F1 · shares: Represents the Issuer's common stock subject to restricted stock units (RSUs), all of which will vest on the first anniversary of the date of grant.

SEC source: 0000899243-22-034685 · doc4.xml · derivative · entry 3

Schlorff Eric · CIK 0001949738 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,985

Underlying: Common Stock · 83,985 shares

Expires 2030-02-20

F2 · kind: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option to purchase shares of SeaStar Medical common stock was assumed and converted into an option to purchase shares of common stock of the Issuer with the same terms and conditions as were applicable to such option immediately prior to the Effective Time, subject to the applicable exchange ratio.

F4 · derivative.exercise_date: The option vests with respect to (i) twenty-five percent (25%) of the shares upon completion of one (1) year of service measured from February 20, 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 February 20, 2021.

SEC source: 0000899243-22-034685 · doc4.xml · derivative · entry 2

Schlorff Eric · CIK 0001949738 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,986

Underlying: Common Stock · 17,986 shares

Expires 2029-03-01

F2 · kind: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option to purchase shares of SeaStar Medical common stock was assumed and converted into an option to purchase shares of common stock of the Issuer with the same terms and conditions as were applicable to such option immediately prior to the Effective Time, subject to the applicable exchange ratio.

F3 · derivative.exercise_date: 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 1, 2019 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 1, 2020.

SEC source: 0000899243-22-034685 · doc4.xml · nonDerivative · entry 1

Schlorff Eric · CIK 0001949738 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,530

F1 · kind: Represents the Issuer's common stock subject to restricted stock units (RSUs). Pursuant to the Agreement and Plan of Merger by and among the Issuer, LMF Merger Sub, Inc., and SeaStar Medical Inc. ("SeaStar Medical"), dated April 21, 2022 (as amended, the "Merger Agreement"), at the Effective Time (as defined in the Merger Agreement), each award of RSUs based on SeaStar Medical common stock that was outstanding immediately prior to the Effective Time was converted into the right to receive RSUs based on the common stock of the Issuer with the same terms and conditions as were applicable to such SeaStar Medical RSU awards immediately prior to the Effective Time, subject to the applicable exchange ratio. Fifty percent (50%) of the shares subject to RSUs reported herein will vest on the first anniversary of the Effective Time, thereafter the remaining will vest on a monthly basis over a 24-month period.

SEC source: 0000899243-22-034684 · doc4.xml · derivative · entry 2

Barnett Rick · CIK 0001949746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,483

Underlying: Common Stock · 24,483 shares

Expires 2031-01-08

F2 · kind: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option to purchase shares of SeaStar Medical common stock was assumed and converted into an option to purchase shares of common stock of the Issuer with the same terms and conditions as were applicable to such option immediately prior to the Effective Time, subject to the applicable exchange ratio.

F3 · derivative.exercise_date: 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 8, 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 8, 2022.

SEC source: 0000899243-22-034684 · doc4.xml · nonDerivative · entry 1

Barnett Rick · CIK 0001949746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,422

F1 · kind: Represents the Issuer's common stock subject to restricted stock units (RSUs). Pursuant to the Agreement and Plan of Merger by and among the Issuer, LMF Merger Sub, Inc., and SeaStar Medical Inc. ("SeaStar Medical"), dated April 21, 2022 (as amended, the "Merger Agreement"), at the Effective Time (as defined in the Merger Agreement), each award of RSUs based on SeaStar Medical common stock that was outstanding immediately prior to the Effective Time was converted into the right to receive RSUs based on the common stock of the Issuer with the same terms and conditions as were applicable to such SeaStar Medical RSU awards immediately prior to the Effective Time, subject to the applicable exchange ratio. Fifty percent (50%) of the shares subject to RSUs reported herein will vest on the first anniversary of the Effective Time, thereafter the remaining will vest on a monthly basis over a 12-month period.

SEC source: 0000899243-22-034688 · doc4.xml · derivative · entry 3

Baron Caryl · CIK 0001949735 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,685

Underlying: Common Stock · 19,685 shares

Expires 2031-01-01

F2 · kind: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option to purchase shares of SeaStar Medical common stock was assumed and converted into an option to purchase shares of common stock of the Issuer with the same terms and conditions as were applicable to such option immediately prior to the Effective Time, subject to the applicable exchange ratio.

F4 · derivative.exercise_date: 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.

SEC source: 0000899243-22-034688 · doc4.xml · derivative · entry 2

Baron Caryl · CIK 0001949735 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,796

Underlying: Common Stock · 4,796 shares

Expires 2030-03-20

F2 · kind: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option to purchase shares of SeaStar Medical common stock was assumed and converted into an option to purchase shares of common stock of the Issuer with the same terms and conditions as were applicable to such option immediately prior to the Effective Time, subject to the applicable exchange ratio.

F3 · derivative.exercise_date: 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.

SEC source: 0000899243-22-034688 · doc4.xml · nonDerivative · entry 1

Baron Caryl · CIK 0001949735 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,112

F1 · kind: Represents the Issuer's common stock subject to restricted stock units (RSUs). Pursuant to the Agreement and Plan of Merger by and among the Issuer, LMF Merger Sub, Inc., and SeaStar Medical Inc. ("SeaStar Medical"), dated April 21, 2022 (as amended, the "Merger Agreement"), at the Effective Time (as defined in the Merger Agreement), each award of RSUs based on SeaStar Medical common stock that was outstanding immediately prior to the Effective Time was converted into the right to receive RSUs based on the common stock of the Issuer with the same terms and conditions as were applicable to such SeaStar Medical RSU awards immediately prior to the Effective Time, subject to the applicable exchange ratio. Fifty percent (50%) of the shares subject to RSUs reported herein will vest on the first anniversary of the Effective Time, thereafter the remaining will vest on a monthly basis over a 24-month period.

SEC source: 0001567619-22-018991 · doc1.xml · derivative · entry 3

LMFAO Sponsor, LLC · CIK 0001842514 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,738,000

Underlying: Common Stock · 5,738,000 shares

Expires 2027-10-28

F4 · kind: The Sponsor acquired these warrants for a purchase price of $1.00 per warrant in connection with the initial public offering of the Issuer. The warrants could only become eligible for exercise upon consummation of the Issuer's initial business combination. Since the exercise of the warrants was contingent upon the closing of the business combination, these warrants were not reported at the time of acquisition. The acquisition is being reported now in connection with the consummation of the Issuer's initial business combination.

F3 · derivative.underlying: As described in the Issuer's registration statement on Form S-4 (File No. 333-264993) and the third amended and restated certificate of incorporation of the Issuer, which took effect in connection with the closing of the Issuer's business combination with SeaStar Medical, Inc., a Delaware corporation, on October 28, 2022, all Class A common stock of the Issuer was redesignated as common stock, par value $0.0001 per share.

F1 · ownership.direct: All of the reported shares and warrants are held directly by LMFAO Sponsor, LLC ("Sponsor"). LM Funding America, Inc. is the sole manager of Sponsor and owns a majority of the membership interests in Sponsor, and therefore the Board of Directors of LM Funding America, Inc. has sole voting and dispositive control over the shares held by Sponsor. Under the so-called "rule of three", if voting and dispositive decisions regarding an entity's securities are made by three or more individuals, and a voting or dispositive decision requires the approval of a majority of those individuals, then none of the individuals is deemed a beneficial owner of the entity's securities. Under this rule, no individual director of LM Funding America, Inc. exercises voting or dispositive control over any of the securities held by Sponsor, even those in which he or she directly holds a pecuniary interest. Accordingly, none of them is deemed to have or share beneficial ownership of such securities.

SEC source: 0001567619-22-018991 · doc1.xml · derivative · entry 2

LMFAO Sponsor, LLC · CIK 0001842514 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,587,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-251962) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically converted into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-251962) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically converted into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-251962) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically converted into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-251962) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically converted into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F1 · ownership.direct: All of the reported shares and warrants are held directly by LMFAO Sponsor, LLC ("Sponsor"). LM Funding America, Inc. is the sole manager of Sponsor and owns a majority of the membership interests in Sponsor, and therefore the Board of Directors of LM Funding America, Inc. has sole voting and dispositive control over the shares held by Sponsor. Under the so-called "rule of three", if voting and dispositive decisions regarding an entity's securities are made by three or more individuals, and a voting or dispositive decision requires the approval of a majority of those individuals, then none of the individuals is deemed a beneficial owner of the entity's securities. Under this rule, no individual director of LM Funding America, Inc. exercises voting or dispositive control over any of the securities held by Sponsor, even those in which he or she directly holds a pecuniary interest. Accordingly, none of them is deemed to have or share beneficial ownership of such securities.

SEC source: 0001567619-22-018991 · doc1.xml · nonDerivative · entry 1

LMFAO Sponsor, LLC · CIK 0001842514 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,587,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.direct: All of the reported shares and warrants are held directly by LMFAO Sponsor, LLC ("Sponsor"). LM Funding America, Inc. is the sole manager of Sponsor and owns a majority of the membership interests in Sponsor, and therefore the Board of Directors of LM Funding America, Inc. has sole voting and dispositive control over the shares held by Sponsor. Under the so-called "rule of three", if voting and dispositive decisions regarding an entity's securities are made by three or more individuals, and a voting or dispositive decision requires the approval of a majority of those individuals, then none of the individuals is deemed a beneficial owner of the entity's securities. Under this rule, no individual director of LM Funding America, Inc. exercises voting or dispositive control over any of the securities held by Sponsor, even those in which he or she directly holds a pecuniary interest. Accordingly, none of them is deemed to have or share beneficial ownership of such securities.

SEC source: 0000899243-22-034702 · doc4.xml · derivative · entry 4

Dow Employees' Pension Plan Trust · CIK 0001951900 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2027-10-28

F2 · price: In a concurrent private placement in connection with the Business Combination, the Reporting Person acquired 300,000 shares of Common Stock and warrants to purchase 300,000 shares of Common Stock for an aggregate purchase price of $3,000,000.

F5 · derivative.exercise_date: The warrants are fully exercisable

SEC source: 0000899243-22-034702 · doc4.xml · derivative · entry 3

Dow Employees' Pension Plan Trust · CIK 0001951900 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,726

Underlying: Common Stock · 1,726 shares

Expires 2025-06-20

F4 · price: As part of the Business Combination, each SeaStar Medical warrant was exchanged for a warrant to purchase 1.20321 shares of Common Stock.

F3 · derivative.exercise_date: The warrants are fully exercisable.

SEC source: 0000899243-22-034702 · doc4.xml · nonDerivative · entry 2

Dow Employees' Pension Plan Trust · CIK 0001951900 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,449,841

F2 · price: In a concurrent private placement in connection with the Business Combination, the Reporting Person acquired 300,000 shares of Common Stock and warrants to purchase 300,000 shares of Common Stock for an aggregate purchase price of $3,000,000.

SEC source: 0000899243-22-034702 · doc4.xml · nonDerivative · entry 1

Dow Employees' Pension Plan Trust · CIK 0001951900 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,149,841

F1 · price: On October 28, 2022, LMF Acquisition Opportunities, Inc., a Delaware corporation ("LMF"), consummated a business combination (the "Business Combination") by and among LMF, LMF Merger Sub, Inc., a Delaware corporation and directly wholly-owned subsidiary of LMF ("Merger Sub") and SeaStar Medical, Inc., a Delaware corporation ("SeaStar Medical"), pursuant to which SeaStar Medical merged with and into Merger Sub, with SeaStar Medical continuing as the surviving entity in the merger as a wholly-owned subsidiary of LMF, and with LMF changing its name to SeaStar Medical Holding Corporation ("SeaStar Medical Holdings"). As part of the Business Combination each share of SeaStar Medical stock was exchanged for 1.20321 shares of common stock of SeaStar Medical Holdings ("Common Stock").

SEC source: 0000899243-22-034704 · doc4.xml · derivative · entry 4

Union Carbide Employees' Pension Plan Trust · CIK 0001951901 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2027-10-28

F2 · price: In a concurrent private placement in connection with the Business Combination, the Reporting Person acquired 200,000 shares of Common Stock and warrants to purchase 200,000 shares of Common Stock for an aggregate purchase price of $2,000,000.

F5 · derivative.exercise_date: The warrants are fully exercisable

SEC source: 0000899243-22-034704 · doc4.xml · derivative · entry 3

Union Carbide Employees' Pension Plan Trust · CIK 0001951901 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,151

Underlying: Common Stock · 1,151 shares

Expires 2025-06-20

F4 · price: As part of the Business Combination, each SeaStar Medical warrant was exchanged for a warrant to purchase 1.20321 shares of Common Stock.

F3 · derivative.exercise_date: The warrants are fully exercisable.

SEC source: 0000899243-22-034704 · doc4.xml · nonDerivative · entry 2

Union Carbide Employees' Pension Plan Trust · CIK 0001951901 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,966,555

F2 · price: In a concurrent private placement in connection with the Business Combination, the Reporting Person acquired 200,000 shares of Common Stock and warrants to purchase 200,000 shares of Common Stock for an aggregate purchase price of $2,000,000.

SEC source: 0000899243-22-034704 · doc4.xml · nonDerivative · entry 1

Union Carbide Employees' Pension Plan Trust · CIK 0001951901 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,766,555

F1 · price: On October 28, 2022, LMF Acquisition Opportunities, Inc., a Delaware corporation ("LMF"), consummated a business combination (the "Business Combination") by and among LMF, LMF Merger Sub, Inc., a Delaware corporation and directly wholly-owned subsidiary of LMF ("Merger Sub") and SeaStar Medical, Inc., a Delaware corporation ("SeaStar Medical"), pursuant to which SeaStar Medical merged with and into Merger Sub, with SeaStar Medical continuing as the surviving entity in the merger as a wholly-owned subsidiary of LMF, and with LMF changing its name to SeaStar Medical Holding Corporation ("SeaStar Medical Holdings"). As part of the Business Combination each share of SeaStar Medical stock was exchanged for 1.20321 shares of common stock of SeaStar Medical Holdings ("Common Stock").

SEC source: 0000899243-22-034686 · doc4.xml · derivative · entry 2

Collins Allan · CIK 0001950453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,483

Underlying: Common Stock · 24,483 shares

Expires 2031-01-08

F2 · kind: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option to purchase shares of SeaStar Medical common stock was assumed and converted into an option to purchase shares of common stock of the Issuer with the same terms and conditions as were applicable to such option immediately prior to the Effective Time, subject to the applicable exchange ratio.

F3 · derivative.exercise_date: 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 8, 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 8, 2022.

SEC source: 0000899243-22-034686 · doc4.xml · nonDerivative · entry 1

Collins Allan · CIK 0001950453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,422

F1 · kind: Represents the Issuer's common stock subject to restricted stock units (RSUs). Pursuant to the Agreement and Plan of Merger by and among the Issuer, LMF Merger Sub, Inc., and SeaStar Medical Inc. ("SeaStar Medical"), dated April 21, 2022 (as amended, the "Merger Agreement"), at the Effective Time (as defined in the Merger Agreement), each award of RSUs based on SeaStar Medical common stock that was outstanding immediately prior to the Effective Time was converted into the right to receive RSUs based on the common stock of the Issuer with the same terms and conditions as were applicable to such SeaStar Medical RSU awards immediately prior to the Effective Time, subject to the applicable exchange ratio. Fifty percent (50%) of the shares subject to RSUs reported herein will vest on the first anniversary of the Effective Time, thereafter the remaining will vest on a monthly basis over a 12-month period.

SEC source: 0000899243-22-034687 · doc4.xml · derivative · entry 2

Van Heel Kenneth · CIK 0001613111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,483

Underlying: Common Stock · 24,483 shares

Expires 2031-10-14

F2 · kind: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option to purchase shares of SeaStar Medical common stock was assumed and converted into an option to purchase shares of common stock of the Issuer with the same terms and conditions as were applicable to such option immediately prior to the Effective Time, subject to the applicable exchange ratio.

F3 · derivative.exercise_date: The option vests with respect to (i) twenty-five percent (25%) of the shares upon completion of one (1) year of service measured from October 14, 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 October 14, 2022.

SEC source: 0000899243-22-034687 · doc4.xml · nonDerivative · entry 1

Van Heel Kenneth · CIK 0001613111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,422

F1 · kind: Represents the Issuer's common stock subject to restricted stock units (RSUs). Pursuant to the Agreement and Plan of Merger by and among the Issuer, LMF Merger Sub, Inc., and SeaStar Medical Inc. ("SeaStar Medical"), dated April 21, 2022 (as amended, the "Merger Agreement"), at the Effective Time (as defined in the Merger Agreement), each award of RSUs based on SeaStar Medical common stock that was outstanding immediately prior to the Effective Time was converted into the right to receive RSUs based on the common stock of the Issuer with the same terms and conditions as were applicable to such SeaStar Medical RSU awards immediately prior to the Effective Time, subject to the applicable exchange ratio. Fifty percent (50%) of the shares subject to RSUs reported herein will vest on the first anniversary of the Effective Time, thereafter the remaining will vest on a monthly basis over a 12-month period.

SEC source: 0001567619-22-018993 · doc1.xml · derivative · entry 3

LM FUNDING AMERICA, INC. · CIK 0001640384 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,738,000

Underlying: Common Stock · 5,738,000 shares

Expires 2027-10-28

F4 · kind: The Sponsor acquired these warrants for a purchase price of $1.00 per warrant in connection with the initial public offering of the Issuer. The warrants could only become eligible for exercise upon consummation of the Issuer's initial business combination. Since the exercise of the warrants was contingent upon the closing of the business combination, these warrants were not reported at the time of acquisition. The acquisition is being reported now in connection with the consummation of the Issuer's initial business combination.

F3 · derivative.underlying: As described in the Issuer's registration statement on Form S-4 (File No. 333-264993) and the third amended and restated certificate of incorporation of the Issuer, which took effect in connection with the closing of the Issuer's business combination with SeaStar Medical, Inc., a Delaware corporation, on October 28, 2022, all Class A common stock of the Issuer was redesignated as common stock, par value $0.0001 per share.

F1 · ownership.nature: All of the reported shares and warrants are held directly by LMFAO Sponsor, LLC ("Sponsor"). Reporting Person is the sole manager of Sponsor and owns a majority of the membership interests in Sponsor, and therefore the Board of Directors of Reporting Person has sole voting and dispositive control over the shares held by Sponsor. Under the so-called "rule of three", if voting and dispositive decisions regarding an entity's securities are made by three or more individuals, and a voting or dispositive decision requires the approval of a majority of those individuals, then none of the individuals is deemed a beneficial owner of the entity's securities. Under this rule, no individual member or manager of Reporting Person exercises voting or dispositive control over any of the securities held by Sponsor, even those in which he or she directly holds a pecuniary interest. Accordingly, none of them is deemed to have or share beneficial ownership of such securities.

SEC source: 0001567619-22-018993 · doc1.xml · derivative · entry 2

LM FUNDING AMERICA, INC. · CIK 0001640384 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See foonote

Disclosed balance after: 0

Underlying: Common Stock · 2,587,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-251962) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically converted into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-251962) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically converted into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-251962) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically converted into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-251962) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically converted into shares of Class A common stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F1 · ownership.nature: All of the reported shares and warrants are held directly by LMFAO Sponsor, LLC ("Sponsor"). Reporting Person is the sole manager of Sponsor and owns a majority of the membership interests in Sponsor, and therefore the Board of Directors of Reporting Person has sole voting and dispositive control over the shares held by Sponsor. Under the so-called "rule of three", if voting and dispositive decisions regarding an entity's securities are made by three or more individuals, and a voting or dispositive decision requires the approval of a majority of those individuals, then none of the individuals is deemed a beneficial owner of the entity's securities. Under this rule, no individual member or manager of Reporting Person exercises voting or dispositive control over any of the securities held by Sponsor, even those in which he or she directly holds a pecuniary interest. Accordingly, none of them is deemed to have or share beneficial ownership of such securities.

SEC source: 0001567619-22-018993 · doc1.xml · nonDerivative · entry 1

LM FUNDING AMERICA, INC. · CIK 0001640384 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,587,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: All of the reported shares and warrants are held directly by LMFAO Sponsor, LLC ("Sponsor"). Reporting Person is the sole manager of Sponsor and owns a majority of the membership interests in Sponsor, and therefore the Board of Directors of Reporting Person has sole voting and dispositive control over the shares held by Sponsor. Under the so-called "rule of three", if voting and dispositive decisions regarding an entity's securities are made by three or more individuals, and a voting or dispositive decision requires the approval of a majority of those individuals, then none of the individuals is deemed a beneficial owner of the entity's securities. Under this rule, no individual member or manager of Reporting Person exercises voting or dispositive control over any of the securities held by Sponsor, even those in which he or she directly holds a pecuniary interest. Accordingly, none of them is deemed to have or share beneficial ownership of such securities.

SEC source: 0000929638-23-001129 · form4.xml · nonDerivative · entry 2

Chung Kevin · CIK 0001949950 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,082

F1 · kind: Represents the Issuer's common stock subject to restricted stock units (RSUs). All RSUs reported herein will vest on the first anniversary of the date of grant.

SEC source: 0000929638-23-001129 · form4.xml · nonDerivative · entry 1

Chung Kevin · CIK 0001949950 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,760