person · Reporting owner

AJJARAPU SURENDRA K

Disclosed activity across 9 companies

Tapewire entity: 28733
SEC CIK: 0001368298

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Aspire-Lakewood Holdings, Inc.PWUP · Entity 7885	Director · Chief Executive Officer · 10% owner	August 18, 2023	August 28, 2023
DataMeds AI, Inc.WGRX · Entity 8434	Director	June 22, 2026	June 25, 2026
Flash Sports & Media Holdings, Inc.FLZH · Entity 8355	Director	July 14, 2026	July 24, 2026
Integrated Wellness Acquisition CorpWEL · Entity 85241	Director · Chief Executive Officer	February 12, 2024	February 21, 2024
Kernel Group Holdings, Inc.KRNL · Entity 111780	Director · CEO, Chairman · 10% owner	December 28, 2022	March 28, 2023
Ocean Biomedical, Inc.OCEA · Entity 8695	Director	March 22, 2023	March 24, 2023
OceanTech Acquisitions I Corp.OTEC · Entity 112900	10% owner	March 13, 2023	April 21, 2023
Scienture Holdings, Inc.MEDS · Entity 7802	Director · Chairman and CEO	January 05, 2024	May 28, 2024
Tevogen Inc.LGST · Entity 7276	Director · CEO and Chairman · 10% owner	June 07, 2023	June 21, 2023

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Aspire-Lakewood Holdings, Inc.

Report date August 18, 2023 · Filed August 28, 2023

Jointly reported with SRIRAMA Associates, LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Ordinary SharesSEC Table I · non-derivative	IndirectBy SRIRAMA Associates, LLC	4,317,500	Reported balance Holding disclosure · report date 2023-08-18 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 4,317,500 F1: SRIRAMA Associates, LLC, a Delaware limited liability company (the "Sponsor"), is the record holder of such Class A Ordinary Shares and the Warrants. Mr. Ajjarapu is a managing member of the Sponsor. As such, Mr. Ajjarapu has shared voting and investment discretion with respect to the Class A Ordinary Shares held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Ordinary Shares. Mr. Ajjarapu disclaims beneficial ownership of any Class A Ordinary Shares other than to the extent he may have a pecuniary interest therein, directly or indirectly. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50	IndirectBy SRIRAMA Associates, LLC	Not disclosed	Reported balance Holding disclosure · report date 2023-08-18 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F2: Each warrant will become exercisable on the later of 12 months from the closing of the Issuer's initial public offering and the date of completion of the Issuer's initial business combination. Each warrant will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F1: SRIRAMA Associates, LLC, a Delaware limited liability company (the "Sponsor"), is the record holder of such Class A Ordinary Shares and the Warrants. Mr. Ajjarapu is a managing member of the Sponsor. As such, Mr. Ajjarapu has shared voting and investment discretion with respect to the Class A Ordinary Shares held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Ordinary Shares. Mr. Ajjarapu disclaims beneficial ownership of any Class A Ordinary Shares other than to the extent he may have a pecuniary interest therein, directly or indirectly. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein.

Filing footnotes · ownership attribution and instrument terms

F1: SRIRAMA Associates, LLC, a Delaware limited liability company (the "Sponsor"), is the record holder of such Class A Ordinary Shares and the Warrants. Mr. Ajjarapu is a managing member of the Sponsor. As such, Mr. Ajjarapu has shared voting and investment discretion with respect to the Class A Ordinary Shares held of record by the Sponsor and may be deemed to have beneficial ownership of such Class A Ordinary Shares. Mr. Ajjarapu disclaims beneficial ownership of any Class A Ordinary Shares other than to the extent he may have a pecuniary interest therein, directly or indirectly. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any securities reported herein.

F2: Each warrant will become exercisable on the later of 12 months from the closing of the Issuer's initial public offering and the date of completion of the Issuer's initial business combination. Each warrant will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation.

DataMeds AI, Inc.

Report date June 22, 2026 · Filed June 25, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	257,645	Reported balance After 2026-06-22 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2026-06-22 · Other · Acquired 100,000 · Balance 257,645 F1: Represents the conversion of warrants (the "Warrants") issued to the Reporting Person on 3/31/2026 in lieu of cash compensation due to the Reporting Person. F2: Reflects the aggregate amount of Common Stock held by the Reporting Person following the Issuer's reverse stock split, effective May 26, 2026, as well as the Common Stock issued pursuant to the conversion of the Warrants.
WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2031-03-31	Direct	0	Reported balance After 2026-06-22 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-06-22 · Other · Acquired 100,000 · Balance 0

Filing footnotes · ownership attribution and instrument terms

F1: Represents the conversion of warrants (the "Warrants") issued to the Reporting Person on 3/31/2026 in lieu of cash compensation due to the Reporting Person.

F2: Reflects the aggregate amount of Common Stock held by the Reporting Person following the Issuer's reverse stock split, effective May 26, 2026, as well as the Common Stock issued pursuant to the conversion of the Warrants.

Flash Sports & Media Holdings, Inc.

Report date July 14, 2026 · Filed July 24, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSansur Associates, LLC	2,726,538	Reported balance Holding disclosure · report date 2026-07-14 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,726,538
Common StockSEC Table I · non-derivative	IndirectSea Rider Capital, LLC	2,759,074	Reported balance Holding disclosure · report date 2026-07-14 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 2,759,074

Integrated Wellness Acquisition Corp

Report date February 12, 2024 · Filed February 21, 2024

This filing explicitly reported no securities owned.

Kernel Group Holdings, Inc.

Report date December 28, 2022 · Filed March 28, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B Ordinary SharesSEC Table II · derivative / convertible security	IndirectBy VKSS Capital, LLC	Not disclosed	Reported balance Holding disclosure · report date 2022-12-28 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: As described in the issuer's registration statement on Form S-1 (File No. 333-252105) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F2: The securities reported herein are held by VKSS Capital, LLC (the "Sponsor"). The reporting person controls the Sponsor, and as such has voting and investment discretion with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.00	IndirectBy VKSS Capital, LLC	Not disclosed	Reported balance Holding disclosure · report date 2022-12-28 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F3: Each warrant will become exercisable on the later of 12 months from the closing of the Issuer's initial public offering and 30 days the date of completion of the Issuer's initial business combination. Each warrant will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F2: The securities reported herein are held by VKSS Capital, LLC (the "Sponsor"). The reporting person controls the Sponsor, and as such has voting and investment discretion with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: As described in the issuer's registration statement on Form S-1 (File No. 333-252105) under the heading "Description of Securities-Founder Shares", the Class B ordinary shares, par value $0.0001, will automatically convert into Class A ordinary shares, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2: The securities reported herein are held by VKSS Capital, LLC (the "Sponsor"). The reporting person controls the Sponsor, and as such has voting and investment discretion with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

F3: Each warrant will become exercisable on the later of 12 months from the closing of the Issuer's initial public offering and 30 days the date of completion of the Issuer's initial business combination. Each warrant will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation.

Ocean Biomedical, Inc.

Report date March 22, 2023 · Filed March 24, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001SEC Table I · non-derivative	IndirectBy Aesther Healthcare Sponsor, LLC	315,000	Reported balance After 2023-03-22 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2023-03-22 · Other · Disposed 1,050,000 · Balance 315,000 F1: Represents the transfer of 1,050,000 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Ocean Biomedical, Inc. (the "Issuer") from Aesther Healthcare Sponsor, LLC (the "Sponsor") to NPIC Limited (the "Lender") on March 22, 2023 pursuant to that certain Loan Modification Agreement, dated March 22, 2023, between the Sponsor, the Issuer, and the Lender, as consideration for the Lender's agreement to extend the maturity date of the Sponsor's repayment of a $1,050,000 loan. F2: These shares of Common Stock are owned directly by the Sponsor. Suren Ajjarapu ("Mr. Ajjarapu") is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
Common Stock, par value $0.0001SEC Table I · non-derivative	IndirectBy Sansur Associates, LLC	21,252	Reported balance Holding disclosure · report date 2023-03-22 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 21,252 F3: These shares of Common Stock are owned directly by Sansur Associates, LLC ("Sansur"). As manager of Sansur, Mr. Ajjarapu may be deemed to be the indirect beneficial owner of the securities held by Sansur. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
Common Stock, par value $0.0001SEC Table I · non-derivative	IndirectBy Surendra Ajjarapu Revocable Trust of 2007	469,300	Reported balance Holding disclosure · report date 2023-03-22 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 469,300 F4: These shares are owned directly by the Surendra Ajjarapu Revocable Trust of 2007 (the "Surendra Trust"). As trustee of the Surendra Trust, Mr. Ajjarapu may be deemed to be the indirect beneficial owner of the securities held by the Surendra Trust. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
Common Stock, par value $0.0001SEC Table I · non-derivative	IndirectBy Sandhya Ajjarapu Revocable Trust of 2007	258,200	Reported balance Holding disclosure · report date 2023-03-22 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 258,200 F5: These shares of Common Stock are owned directly by the Sandhya Ajjarapu Revocable Trust of 2007 (the "Sandhya Trust"), of which Mr. Ajjarapu's wife, Sandhya Ajjarapu ("Mrs. Ajjarapu") is the trustee and Mr. Ajjarapu is the successor trustee. Because Mrs. Ajjarapu's pecuniary interest in the Sandhya Trust is attributable to Mr. Ajjarapu by nature of their spousal relationship, Mr. Ajjarapu may be deemed to be the indirect beneficial owner of the securities held by the Sandhya Trust. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the transfer of 1,050,000 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Ocean Biomedical, Inc. (the "Issuer") from Aesther Healthcare Sponsor, LLC (the "Sponsor") to NPIC Limited (the "Lender") on March 22, 2023 pursuant to that certain Loan Modification Agreement, dated March 22, 2023, between the Sponsor, the Issuer, and the Lender, as consideration for the Lender's agreement to extend the maturity date of the Sponsor's repayment of a $1,050,000 loan.

F2: These shares of Common Stock are owned directly by the Sponsor. Suren Ajjarapu ("Mr. Ajjarapu") is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

F3: These shares of Common Stock are owned directly by Sansur Associates, LLC ("Sansur"). As manager of Sansur, Mr. Ajjarapu may be deemed to be the indirect beneficial owner of the securities held by Sansur. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

F4: These shares are owned directly by the Surendra Ajjarapu Revocable Trust of 2007 (the "Surendra Trust"). As trustee of the Surendra Trust, Mr. Ajjarapu may be deemed to be the indirect beneficial owner of the securities held by the Surendra Trust. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

F5: These shares of Common Stock are owned directly by the Sandhya Ajjarapu Revocable Trust of 2007 (the "Sandhya Trust"), of which Mr. Ajjarapu's wife, Sandhya Ajjarapu ("Mrs. Ajjarapu") is the trustee and Mr. Ajjarapu is the successor trustee. Because Mrs. Ajjarapu's pecuniary interest in the Sandhya Trust is attributable to Mr. Ajjarapu by nature of their spousal relationship, Mr. Ajjarapu may be deemed to be the indirect beneficial owner of the securities held by the Sandhya Trust. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

OceanTech Acquisitions I Corp.

Report date March 13, 2023 · Filed April 21, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B common stockSEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2023-03-13 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: As described in the issuer's registration statement on Form S-1 (File No. 333-255151) under the heading "Description of Securities-Founder Shares", the Class B common stock, par value $0.0001, will automatically convert into Class A common stock, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date. F2: These shares represent 2,581,500 shares of Class B common stock of the issuer held by Aspire Acquisition, LLC (the "Sponsor"). As such, the Reporting Person may be deemed to have beneficial ownership of such shares. The Reporting Person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.00	IndirectSee footnote	Not disclosed	Reported balance Holding disclosure · report date 2023-03-13 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F4: Each warrant will become exercisable on the later of 12 months from the closing of the Issuer's initial public offering and 30 days the date of completion of the Issuer's initial business combination. Each warrant will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F3: These warrants are held by Aspire Acquisition, LLC (the "Sponsor"). As such, the Reporting Person may be deemed to have beneficial ownership of such shares. The Reporting Person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

Filing footnotes · ownership attribution and instrument terms

F1: As described in the issuer's registration statement on Form S-1 (File No. 333-255151) under the heading "Description of Securities-Founder Shares", the Class B common stock, par value $0.0001, will automatically convert into Class A common stock, par value $0.0001, of the issuer at the time of the issuer's initial business combination transaction on a one-for-one basis, subject to adjustment for share splits, share capitalizations, reorganizations, recapitalizations and the like, and certain anti-dilution rights and have no expiration date.

F2: These shares represent 2,581,500 shares of Class B common stock of the issuer held by Aspire Acquisition, LLC (the "Sponsor"). As such, the Reporting Person may be deemed to have beneficial ownership of such shares. The Reporting Person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F3: These warrants are held by Aspire Acquisition, LLC (the "Sponsor"). As such, the Reporting Person may be deemed to have beneficial ownership of such shares. The Reporting Person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F4: Each warrant will become exercisable on the later of 12 months from the closing of the Issuer's initial public offering and 30 days the date of completion of the Issuer's initial business combination. Each warrant will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation.

Scienture Holdings, Inc.

Report date January 05, 2024 · Filed May 28, 2024 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	82,643	Reported balance After 2024-01-05 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2024-01-05 · Grant · Acquired 10,000 · Balance 82,643 F1: This Form 4/A is being filed to amend the previous Form 4 filed by Mr. Ajjarapu on January 16, 2024 (the "Prior Form 4"). The purpose of this Form 4/A is to: (i) correct the number of securities acquired on or about January 5, 2024; (ii) correct the amount of securities beneficially owned by Mr. Ajjarapu as of that date; and (iii) correct Mr. Ajjarapu's form of ownership. F2: The shares were granted as consideration for services rendered by Mr. Ajjarapu. F3: These securities are owned directly by Mr. Ajjarapu.
Common StockSEC Table I · non-derivative	IndirectBy Sandhya Ajjarapu (Spouse)	3,449	Reported balance Holding disclosure · report date 2024-01-05 · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · Balance 3,449 F4: These securities are owned directly by Sandhya Ajjarapu, Mr. Ajjarapu's wife. By nature of their spousal relationship, Mr. Ajjarapu is deemed to be the indirect beneficial owner of the shares held by Mrs. Ajjarapu.
Common StockSEC Table I · non-derivative	IndirectBy Surendra Ajjarapu Revocable Trust 2007	34,844	Reported balance Holding disclosure · report date 2024-01-05 · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · Balance 34,844 F5: These securities are owned directly by the Surendra Ajjarapu Revocable Trust 2007 (the "Surendra Trust"). Mr. Ajjarapu is the trustee of the Surendra Trust and, in such capacity, is deemed to be the indirect beneficial owner of the shares held by the Surendra Trust.
Common StockSEC Table I · non-derivative	IndirectBy Sandhya Ajjarapu Revocable Trust 2007	89,167	Reported balance Holding disclosure · report date 2024-01-05 · row 4 Amendment: may correct only part of an earlier disclosure. 1 source row Row 4 · Balance 89,167 F6: These securities are owned directly by the Sandhya Ajjarapu Revocable Trust 2007 (the "Sandhya Trust"). Mrs. Ajjarapu is the trustee of the Sandhya Trust. Mrs. Ajjarapu's pecuniary interest in the Sandhya Trust is attributable to Mr. Ajjarapu by nature of their spousal relationship, so Mr. Ajjarapu is deemed to be the indirect beneficial owner of the shares held by the Sandhya Trust.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4/A is being filed to amend the previous Form 4 filed by Mr. Ajjarapu on January 16, 2024 (the "Prior Form 4"). The purpose of this Form 4/A is to: (i) correct the number of securities acquired on or about January 5, 2024; (ii) correct the amount of securities beneficially owned by Mr. Ajjarapu as of that date; and (iii) correct Mr. Ajjarapu's form of ownership.

F2: The shares were granted as consideration for services rendered by Mr. Ajjarapu.

F3: These securities are owned directly by Mr. Ajjarapu.

F4: These securities are owned directly by Sandhya Ajjarapu, Mr. Ajjarapu's wife. By nature of their spousal relationship, Mr. Ajjarapu is deemed to be the indirect beneficial owner of the shares held by Mrs. Ajjarapu.

F5: These securities are owned directly by the Surendra Ajjarapu Revocable Trust 2007 (the "Surendra Trust"). Mr. Ajjarapu is the trustee of the Surendra Trust and, in such capacity, is deemed to be the indirect beneficial owner of the shares held by the Surendra Trust.

F6: These securities are owned directly by the Sandhya Ajjarapu Revocable Trust 2007 (the "Sandhya Trust"). Mrs. Ajjarapu is the trustee of the Sandhya Trust. Mrs. Ajjarapu's pecuniary interest in the Sandhya Trust is attributable to Mr. Ajjarapu by nature of their spousal relationship, so Mr. Ajjarapu is deemed to be the indirect beneficial owner of the shares held by the Sandhya Trust.

Tevogen Inc.

Report date June 07, 2023 · Filed June 21, 2023 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A ordinary shares, par value $0.0001 per shareSEC Table I · non-derivative	IndirectBy SSVK Associates, LLC	8,988,889	Reported balance After 2023-06-07 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2023-06-07 · Grant · Acquired 7,988,889 · Balance 8,988,889 F1: This Amendment is being filed to correct the original Form 4 filed on June 12, 2023. This amendment does not otherwise modify the transaction details that were previously reported. The original Form 4 filed on June 12, 2023 incorrectly listed the 7,988,880 Class A ordinary shares as Class B ordinary shares in Table II. F2: SSVK Associates, LLC the sponsor of the Issuer (the "Sponsor"), purchased all its interests in the Issuer, including certain other rights and obligations in accordance with the terms of the Purchase Agreement for an aggregate purchase price of $1 (one dollar) due on the date on which a business combination is completed. F3: Pursuant to the terms of that certain purchase agreement, dated as of May 4, 2023, entered into by and among, Reporting Person, the Issuer and other certain securityholders (the "Purchase Agreement"), pursuant to which the Class A ordinary shares and warrants were acquired by the Reporting Person, Tables I and II have been updated by deleting the line corresponding to the 7,988,889 shares in Table II and adding the line to Table I to reflect that the Reporting Person beneficially owns (i) 8,988,889 Class A ordinary shares, 1,000,000 of which are underlying the Private Placement Units, and (ii) warrants underlying the Private Placement Units to purchase 500,000 Class A ordinary shares. F4: The securities are held directly by the Sponsor. Surendra Ajjarapu, the Issuer's Chairman and Chief Executive Officer is the manager of the Sponsor. Mr. Ajjarapu may be deemed to beneficially own the securities held by the Sponsor by virtue of his control over the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his respective pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: This Amendment is being filed to correct the original Form 4 filed on June 12, 2023. This amendment does not otherwise modify the transaction details that were previously reported. The original Form 4 filed on June 12, 2023 incorrectly listed the 7,988,880 Class A ordinary shares as Class B ordinary shares in Table II.

F2: SSVK Associates, LLC the sponsor of the Issuer (the "Sponsor"), purchased all its interests in the Issuer, including certain other rights and obligations in accordance with the terms of the Purchase Agreement for an aggregate purchase price of $1 (one dollar) due on the date on which a business combination is completed.

F3: Pursuant to the terms of that certain purchase agreement, dated as of May 4, 2023, entered into by and among, Reporting Person, the Issuer and other certain securityholders (the "Purchase Agreement"), pursuant to which the Class A ordinary shares and warrants were acquired by the Reporting Person, Tables I and II have been updated by deleting the line corresponding to the 7,988,889 shares in Table II and adding the line to Table I to reflect that the Reporting Person beneficially owns (i) 8,988,889 Class A ordinary shares, 1,000,000 of which are underlying the Private Placement Units, and (ii) warrants underlying the Private Placement Units to purchase 500,000 Class A ordinary shares.

F4: The securities are held directly by the Sponsor. Surendra Ajjarapu, the Issuer's Chairman and Chief Executive Officer is the manager of the Sponsor. Mr. Ajjarapu may be deemed to beneficially own the securities held by the Sponsor by virtue of his control over the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his respective pecuniary interest.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 22, 2026 Filed Jun 25, 2026 20:59 UTC	DataMeds AI, Inc. WGRX · Entity 8434	OtherWarrant · Derivative	100,000	$0.00 Strike: $0.01	$0.00	Disclosure SEC source: 0001493152-26-030154 · ownership.xml · derivative · entry 2 AJJARAPU SURENDRA K · CIK 0001368298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2031-03-31 Read SEC document
June 22, 2026 Filed Jun 25, 2026 20:59 UTC	DataMeds AI, Inc. WGRX · Entity 8434	OtherCommon Stock	100,000	$0.01	$500.00	Disclosure SEC source: 0001493152-26-030154 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 257,645 F1 · shares: Represents the conversion of warrants (the "Warrants") issued to the Reporting Person on 3/31/2026 in lieu of cash compensation due to the Reporting Person. F2 · balance_after: Reflects the aggregate amount of Common Stock held by the Reporting Person following the Issuer's reverse stock split, effective May 26, 2026, as well as the Common Stock issued pursuant to the conversion of the Warrants. Read SEC document
March 31, 2026 Filed Apr 24, 2026 00:52 UTC	DataMeds AI, Inc. WGRX · Entity 8434	GrantWarrant · Derivative	5,000,000	$0.01 Strike: $0.01	$50,000.00	Disclosure SEC source: 0001493152-26-018817 · ownership.xml · derivative · entry 2 AJJARAPU SURENDRA K · CIK 0001368298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000,000 Underlying: Common Stock · 5,000,000 shares Expires 2031-03-31 F2 · shares: The Issuer issued the Reporting Person 5,000,000 warrants to purchase common stock (the "Warrants") as compensation for the Reporting Person's service to the Issuer. The Warrants were issued in a transaction exempt from registration under Section 4(a)(2) of the Securities Act of 1933. Read SEC document
March 31, 2026 Filed Apr 24, 2026 00:52 UTC	DataMeds AI, Inc. WGRX · Entity 8434	GrantCommon Stock	5,000,000	$0.20	$1,000,000.00	Disclosure SEC source: 0001493152-26-018817 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,882,247 F1 · shares: The Issuer issued the Reporting Person 5,000,000 shares of common stock (the "Shares") as compensation for the Reporting Person's service to the Issuer. The Shares were issued in a transaction exempt from registration under Section 4(a)(2) of the Securities Act of 1933. Read SEC document
March 31, 2026 Filed Jun 25, 2026 20:15 UTC Amendment	DataMeds AI, Inc. WGRX · Entity 8434	GrantWarrant · Derivative	5,000,000	$0.00 Strike: $0.00	$500.00	Disclosure SEC source: 0001493152-26-030123 · ownership.xml · derivative · entry 2 AJJARAPU SURENDRA K · CIK 0001368298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000,000 Underlying: Common Stock · 5,000,000 shares Expires 2031-03-31 F2 · shares: The Issuer issued the Reporting Person 5,000,000 warrants to purchase common stock (the "Warrants") as compensation for the Reporting Person's service to the Issuer. The Warrants were issued in a transaction exempt from registration under Section 4(a)(2) of the Securities Act of 1933. Read SEC document
March 31, 2026 Filed Jun 25, 2026 20:15 UTC Amendment	DataMeds AI, Inc. WGRX · Entity 8434	GrantCommon Stock	5,000,000	$0.20	$1,000,000.00	Disclosure SEC source: 0001493152-26-030123 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,882,247 F1 · shares: The Issuer issued the Reporting Person 5,000,000 shares of common stock (the "Shares") as compensation for the Reporting Person's service to the Issuer. The Shares were issued in a transaction exempt from registration under Section 4(a)(2) of the Securities Act of 1933. Read SEC document
March 21, 2025 Filed Mar 25, 2025 19:50 UTC	DataMeds AI, Inc. WGRX · Entity 8434	GrantCommon Stock, Par Value $0.0001	600,000	$0.00	$0.00	Disclosure SEC source: 0001641172-25-000584 · ownership.xml · nonDerivative · entry 3 AJJARAPU SURENDRA K · CIK 0001368298 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Sansur Associates LLC Disclosed balance after: 3,100,000 F1 · shares: Shares of restricted stock issued pursuant to the Wellgistics Health, Inc. Amended and Restated 2023 Equity Incentive Plan. Read SEC document
March 21, 2025 Filed Mar 25, 2025 19:50 UTC	DataMeds AI, Inc. WGRX · Entity 8434	GrantCommon Stock, Par Value $0.0001	600,000	$0.00	$0.00	Disclosure SEC source: 0001641172-25-000584 · ownership.xml · nonDerivative · entry 2 AJJARAPU SURENDRA K · CIK 0001368298 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By the Sandhya Ajjarapu Revocable Trust 2007 Disclosed balance after: 4,463,200 F1 · shares: Shares of restricted stock issued pursuant to the Wellgistics Health, Inc. Amended and Restated 2023 Equity Incentive Plan. Read SEC document
March 21, 2025 Filed Mar 25, 2025 19:50 UTC	DataMeds AI, Inc. WGRX · Entity 8434	GrantCommon Stock, Par Value $0.0001	2,882,247	$0.00	$0.00	Disclosure SEC source: 0001641172-25-000584 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,822,247 F1 · shares: Shares of restricted stock issued pursuant to the Wellgistics Health, Inc. Amended and Restated 2023 Equity Incentive Plan. Read SEC document
January 05, 2024 Filed Jan 16, 2024 11:10 UTC	Scienture Holdings, Inc. MEDS · Entity 7802	GrantCommon stock	150,000	$0.00	$0.00	Disclosure SEC source: 0001493152-24-002316 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · Chairman and CEO 10b5-1 filing: No plan indicated Ownership: Indirect · By Sandhya Ajjarapu Revocable Trust 2007 Disclosed balance after: 150,000 F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/2 of the shares on January 1, 2023 and April 1, 2023, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d). F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as an officer of the Company. F3 · ownership.nature: These securities are owned directly by the Sandhya Trust, of which Mr. Ajjarapu is the trustee. Mr. Ajjarapu, as the trustee, is deemed to have indirect beneficial ownership of the shares held by the Sandhya Trust. Read SEC document
January 05, 2024 Filed May 28, 2024 21:01 UTC Amendment	Scienture Holdings, Inc. MEDS · Entity 7802	GrantCommon Stock	10,000	$0.00	$0.00	Disclosure SEC source: 0001493152-24-021630 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · Chairman and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 82,643 F1 · kind: This Form 4/A is being filed to amend the previous Form 4 filed by Mr. Ajjarapu on January 16, 2024 (the "Prior Form 4"). The purpose of this Form 4/A is to: (i) correct the number of securities acquired on or about January 5, 2024; (ii) correct the amount of securities beneficially owned by Mr. Ajjarapu as of that date; and (iii) correct Mr. Ajjarapu's form of ownership. F2 · price: The shares were granted as consideration for services rendered by Mr. Ajjarapu. F3 · ownership.direct: These securities are owned directly by Mr. Ajjarapu. Read SEC document
June 07, 2023 Filed Jun 12, 2023 19:55 UTC	Tevogen Inc. LGST · Entity 7276	GrantWarrants · Derivative	500,000	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001474506-23-000291 · primary_doc.xml · derivative · entry 3 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO and Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By SSVK Associates, LLC Disclosed balance after: 500,000 Underlying: Class A ordinary shares, par value $0.0001 per share · 500,000 shares Expires not disclosed F5 · security: The Warrants are underlying the Private Placement Units. As described in the Issuer's registration statement on Form S-1 (No. 333-260113) under the heading "Description of Securities - Units" each Private Placement Unit consists of one share of the Issuer's Class A ordinary shares and one-half of one redeemable warrant. F2 · shares: SSVK Associates, LLC the sponsor of the Issuer (the "Sponsor"), purchased all its interests in the Issuer, including certain other rights and obligations in accordance with a purchase agreement, dated as of May 4, 2023, entered into by and among, Reporting Person, the Issuer and other certain securityholders for an aggregate purchase price of $1 (one dollar) due on the date on which a business combination is completed. F2 · price: SSVK Associates, LLC the sponsor of the Issuer (the "Sponsor"), purchased all its interests in the Issuer, including certain other rights and obligations in accordance with a purchase agreement, dated as of May 4, 2023, entered into by and among, Reporting Person, the Issuer and other certain securityholders for an aggregate purchase price of $1 (one dollar) due on the date on which a business combination is completed. F6 · derivative.exercise_date: The Warrants will become exercisable upon the later of 12 months from the closing of the Issuer's initial public offering and 30 days after the completion of the Issuer's initial business combination. F7 · derivative.expiration_date: The Warrants will expire five years after the completion of the Issuer's business combination or earlier upon redemption or liquidation. F3 · ownership.nature: The securities are held directly by the Sponsor. Surendra Ajjarapu, the Issuer's Chairman and Chief Executive Officer is the manager of the Sponsor. Mr. Ajjarapu may be deemed to beneficially own the securities held by the Sponsor by virtue of his control over the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his respective pecuniary interest. Read SEC document
June 07, 2023 Filed Jun 12, 2023 19:55 UTC	Tevogen Inc. LGST · Entity 7276	GrantClass B ordinary shares, par value $0.0001 per share · Derivative	7,988,889	Not disclosed	Not disclosed	Disclosure SEC source: 0001474506-23-000291 · primary_doc.xml · derivative · entry 2 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO and Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By SSVK Associates, LLC Disclosed balance after: 7,988,889 Underlying: Class A ordinary shares, par value $0.0001 per share · 7,988,889 shares Expires not disclosed F4 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (No. 333-260113) under the heading "Description of Securities-Founder Shares", the shares of Class B ordinary shares will automatically convert into shares of Class A ordinary shares at the time of the Issuer's initial business combination on a one-for-one basis subject to certain adjustments and have no expiration date. F3 · shares: The securities are held directly by the Sponsor. Surendra Ajjarapu, the Issuer's Chairman and Chief Executive Officer is the manager of the Sponsor. Mr. Ajjarapu may be deemed to beneficially own the securities held by the Sponsor by virtue of his control over the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his respective pecuniary interest. F2 · price: SSVK Associates, LLC the sponsor of the Issuer (the "Sponsor"), purchased all its interests in the Issuer, including certain other rights and obligations in accordance with a purchase agreement, dated as of May 4, 2023, entered into by and among, Reporting Person, the Issuer and other certain securityholders for an aggregate purchase price of $1 (one dollar) due on the date on which a business combination is completed. F4 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (No. 333-260113) under the heading "Description of Securities-Founder Shares", the shares of Class B ordinary shares will automatically convert into shares of Class A ordinary shares at the time of the Issuer's initial business combination on a one-for-one basis subject to certain adjustments and have no expiration date. F4 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (No. 333-260113) under the heading "Description of Securities-Founder Shares", the shares of Class B ordinary shares will automatically convert into shares of Class A ordinary shares at the time of the Issuer's initial business combination on a one-for-one basis subject to certain adjustments and have no expiration date. F3 · ownership.nature: The securities are held directly by the Sponsor. Surendra Ajjarapu, the Issuer's Chairman and Chief Executive Officer is the manager of the Sponsor. Mr. Ajjarapu may be deemed to beneficially own the securities held by the Sponsor by virtue of his control over the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his respective pecuniary interest. Read SEC document
June 07, 2023 Filed Jun 12, 2023 19:55 UTC	Tevogen Inc. LGST · Entity 7276	GrantClass A ordinary shares, par value $0.0001 per share	1,000,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001474506-23-000291 · primary_doc.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO and Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By SSVK Associates, LLC Disclosed balance after: 1,000,000 F1 · security: The Class A Ordinary shares are underlying the units (the "Private Placement Units"). As described in the Issuer's registration statement on Form S-1 (No. 333-260113) under the heading "Description of Securities - Units" each Private Placement Unit consists of one share of the Issuer's Class A ordinary shares and one-half of one redeemable warrant. F2 · price: SSVK Associates, LLC the sponsor of the Issuer (the "Sponsor"), purchased all its interests in the Issuer, including certain other rights and obligations in accordance with a purchase agreement, dated as of May 4, 2023, entered into by and among, Reporting Person, the Issuer and other certain securityholders for an aggregate purchase price of $1 (one dollar) due on the date on which a business combination is completed. F3 · ownership.nature: The securities are held directly by the Sponsor. Surendra Ajjarapu, the Issuer's Chairman and Chief Executive Officer is the manager of the Sponsor. Mr. Ajjarapu may be deemed to beneficially own the securities held by the Sponsor by virtue of his control over the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his respective pecuniary interest. Read SEC document
June 07, 2023 Filed Jun 21, 2023 15:31 UTC Amendment	Tevogen Inc. LGST · Entity 7276	GrantClass A ordinary shares, par value $0.0001 per share	7,988,889	Not disclosed	Not disclosed	Disclosure SEC source: 0001474506-23-000311 · primary_doc.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO and Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By SSVK Associates, LLC Disclosed balance after: 8,988,889 F1 · security: This Amendment is being filed to correct the original Form 4 filed on June 12, 2023. This amendment does not otherwise modify the transaction details that were previously reported. The original Form 4 filed on June 12, 2023 incorrectly listed the 7,988,880 Class A ordinary shares as Class B ordinary shares in Table II. F2 · price: SSVK Associates, LLC the sponsor of the Issuer (the "Sponsor"), purchased all its interests in the Issuer, including certain other rights and obligations in accordance with the terms of the Purchase Agreement for an aggregate purchase price of $1 (one dollar) due on the date on which a business combination is completed. F3 · balance_after: Pursuant to the terms of that certain purchase agreement, dated as of May 4, 2023, entered into by and among, Reporting Person, the Issuer and other certain securityholders (the "Purchase Agreement"), pursuant to which the Class A ordinary shares and warrants were acquired by the Reporting Person, Tables I and II have been updated by deleting the line corresponding to the 7,988,889 shares in Table II and adding the line to Table I to reflect that the Reporting Person beneficially owns (i) 8,988,889 Class A ordinary shares, 1,000,000 of which are underlying the Private Placement Units, and (ii) warrants underlying the Private Placement Units to purchase 500,000 Class A ordinary shares. F4 · ownership.nature: The securities are held directly by the Sponsor. Surendra Ajjarapu, the Issuer's Chairman and Chief Executive Officer is the manager of the Sponsor. Mr. Ajjarapu may be deemed to beneficially own the securities held by the Sponsor by virtue of his control over the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the securities held by the Sponsor, except to the extent of his respective pecuniary interest. Read SEC document
March 22, 2023 Filed Mar 24, 2023 21:23 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherCommon Stock, par value $0.0001	1,050,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-008973 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 315,000 F1 · kind: Represents the transfer of 1,050,000 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Ocean Biomedical, Inc. (the "Issuer") from Aesther Healthcare Sponsor, LLC (the "Sponsor") to NPIC Limited (the "Lender") on March 22, 2023 pursuant to that certain Loan Modification Agreement, dated March 22, 2023, between the Sponsor, the Issuer, and the Lender, as consideration for the Lender's agreement to extend the maturity date of the Sponsor's repayment of a $1,050,000 loan. F1 · price: Represents the transfer of 1,050,000 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Ocean Biomedical, Inc. (the "Issuer") from Aesther Healthcare Sponsor, LLC (the "Sponsor") to NPIC Limited (the "Lender") on March 22, 2023 pursuant to that certain Loan Modification Agreement, dated March 22, 2023, between the Sponsor, the Issuer, and the Lender, as consideration for the Lender's agreement to extend the maturity date of the Sponsor's repayment of a $1,050,000 loan. F2 · ownership.nature: These shares of Common Stock are owned directly by the Sponsor. Suren Ajjarapu ("Mr. Ajjarapu") is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 28, 2023 Filed Mar 2, 2023 21:55 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherPrivate Placement Warrant · Derivative	1,291,000	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001493152-23-006622 · ownership.xml · derivative · entry 8 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Sandhya Ajjarapu Revocable Trust 2007 Disclosed balance after: 1,291,000 Underlying: Common Stock · 1,291,000 shares Expires 2028-02-14 F14 · kind: As part of the Distribution, the Sandhya Trust acquired 1,291,000 Private Placement Warrants. Mr. Ajjarapu is the trustee of the Sandhya Trust and maintains investment control over the Sandhya Trust. He is therefore deemed to be the indirect beneficial owner of the securities held by the Sandhya Trust. F13 · price: On February 28, 2023, in accordance with the Instruction Letter, the Sponsor instructed its transfer agent to distribute the Private Placement Warrants to certain of its members (the "Distribution") for no consideration, as permitted by the Warrant Agreement. F14 · price: As part of the Distribution, the Sandhya Trust acquired 1,291,000 Private Placement Warrants. Mr. Ajjarapu is the trustee of the Sandhya Trust and maintains investment control over the Sandhya Trust. He is therefore deemed to be the indirect beneficial owner of the securities held by the Sandhya Trust. F11 · derivative.expiration_date: The Private Placement Warrants expire on the earlier to occur of (i) February 14, 2028, the date that is five years after the Closing of the Business Combination, (ii) at 5:00 p.m., New York City time on the Redemption Date (as defined in the Warrant Agreement), and (iii) the liquidation of the Trust Account (as defined in the Warrant Agreement). F8 · ownership.nature: These securities are owned directly by the Sandhya Trust, of which Mr. Ajjarapu is the trustee. Mr. Ajjarapu, as the trustee, is deemed to have indirect beneficial ownership of the shares held by the Sandhya Trust. Read SEC document
February 28, 2023 Filed Mar 2, 2023 21:55 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherPrivate Placement Warrant · Derivative	5,411,000	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001493152-23-006622 · ownership.xml · derivative · entry 7 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 0 Underlying: Common Stock · 5,411,000 shares Expires 2028-02-14 F13 · kind: On February 28, 2023, in accordance with the Instruction Letter, the Sponsor instructed its transfer agent to distribute the Private Placement Warrants to certain of its members (the "Distribution") for no consideration, as permitted by the Warrant Agreement. F13 · price: On February 28, 2023, in accordance with the Instruction Letter, the Sponsor instructed its transfer agent to distribute the Private Placement Warrants to certain of its members (the "Distribution") for no consideration, as permitted by the Warrant Agreement. F11 · derivative.expiration_date: The Private Placement Warrants expire on the earlier to occur of (i) February 14, 2028, the date that is five years after the Closing of the Business Combination, (ii) at 5:00 p.m., New York City time on the Redemption Date (as defined in the Warrant Agreement), and (iii) the liquidation of the Trust Account (as defined in the Warrant Agreement). F4 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 28, 2023 Filed Mar 2, 2023 21:55 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherCommon Stock, par value $0.0001	258,200	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-006622 · ownership.xml · nonDerivative · entry 3 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Sandhya Ajjarapu Revocable Trust 2007 Disclosed balance after: 258,200 F7 · kind: As part of the Sponsor's Transfer of 2,625,000 shares of Common Stock to its members, the Sandhya Ajjarapu Revocable Trust of 2007 (the "Sandhya Trust"), a family trust, acquired 258,200 shares of Common Stock. Mr. Ajjarapu is the trustee of the Sandhya Trust and maintains investment control over the Sandhya Trust. He is therefore deemed to be the indirect beneficial owner of the shares held by the Sandhya Trust. F7 · price: As part of the Sponsor's Transfer of 2,625,000 shares of Common Stock to its members, the Sandhya Ajjarapu Revocable Trust of 2007 (the "Sandhya Trust"), a family trust, acquired 258,200 shares of Common Stock. Mr. Ajjarapu is the trustee of the Sandhya Trust and maintains investment control over the Sandhya Trust. He is therefore deemed to be the indirect beneficial owner of the shares held by the Sandhya Trust. F8 · ownership.nature: These securities are owned directly by the Sandhya Trust, of which Mr. Ajjarapu is the trustee. Mr. Ajjarapu, as the trustee, is deemed to have indirect beneficial ownership of the shares held by the Sandhya Trust. Read SEC document
February 28, 2023 Filed Mar 2, 2023 21:55 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherCommon Stock, par value $0.0001	469,300	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-006622 · ownership.xml · nonDerivative · entry 2 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Surendra Ajjarapu Revocable Trust 2007 Disclosed balance after: 469,300 F5 · kind: As part of the Sponsor's Transfer of 2,625,000 shares of Common Stock to its members, Surendra Ajjarapu Revocable Trust 2007 (the "Surendra Trust"), a family trust, acquired 469,300 shares of Common Stock. Sandhya Ajjarapu ("Mrs. Ajjarapu"), Mr. Ajjarapu's wife, is the trustee of the Surendra Trust and is therefore deemed to have a pecuniary interest in the shares held by the Surendra Trust. Because Mrs. Ajjarapu's pecuniary interest in the Surendra Trust is attributable to Mr. Ajjarapu by nature of their spousal relationship, Mr. Ajjarapu is deemed to be the indirect beneficial owner of the shares held by the Surendra Trust. F5 · price: As part of the Sponsor's Transfer of 2,625,000 shares of Common Stock to its members, Surendra Ajjarapu Revocable Trust 2007 (the "Surendra Trust"), a family trust, acquired 469,300 shares of Common Stock. Sandhya Ajjarapu ("Mrs. Ajjarapu"), Mr. Ajjarapu's wife, is the trustee of the Surendra Trust and is therefore deemed to have a pecuniary interest in the shares held by the Surendra Trust. Because Mrs. Ajjarapu's pecuniary interest in the Surendra Trust is attributable to Mr. Ajjarapu by nature of their spousal relationship, Mr. Ajjarapu is deemed to be the indirect beneficial owner of the shares held by the Surendra Trust. F6 · ownership.nature: These securities are owned directly by the Surendra Trust, of which Mrs. Ajjarapu is the trustee. Mr. Ajjarapu, as Mrs. Ajjarapu's spouse, is deemed to have beneficial ownership of the shares held by the Surendra Trust. Read SEC document
February 28, 2023 Filed Mar 2, 2023 21:55 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherCommon Stock, par value $0.0001	2,625,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-006622 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 1,365,000 F1 · security: In connection with the closing on February 14, 2023 (the "Closing") of the business combination (the "Business Combination") between Aesther Healthcare Acquisition Corp. ("AHAC") and Ocean Biomedical Holdings, Inc., formerly known as Ocean Biomedical, Inc. ("Legacy Ocean"), pursuant to that certain Agreement and Plan of Merger, dated August 31, 2022 and amended on December 5, 2022, between AHAC, Aesther Healthcare Sponsor, LLC (the "Sponsor"), AHAC Merger Sub, Inc. ("Merger Sub"), Legacy Ocean, and Dr. Chirinjeev Kathuria, AHAC changed its name to Ocean Biomedical, Inc. (such post-Business Combination entity, the "Issuer"). F2 · security: Pursuant to the Issuer's Third Amended and Restated Certificate of Incorporation filed in connection with the Closing of the Business Combination, the Issuer completed a reclassification exempt under Rule 16b-7 (the "Reclassification"). In accordance with the Reclassification, each share of the Issuer's Class A Common Stock, par value $0.0001 per share (the "Class A Common Stock"), was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001 (the "Common Stock"). F3 · kind: These shares were originally shares of AHAC's Class B Common Stock, par value $0.0001 per share (the "Class B Founder Shares"), that the Sponsor owned prior to the Business Combination. In connection with the Closing of the Business Combination, the Class B Founder Shares automatically converted into shares of the Issuer's Class A Common Stock on a one-for-one basis on the Closing Date, and the Class A Common Stock was then reclassified on a one-for-one basis into Common Stock in accordance with the Reclassification. In accordance with an instruction letter to the Sponsor's transfer agent (the "Instruction Letter"), the Sponsor instructed the Transfer Agent to transfer these shares to certain of the Sponsor's members for no consideration (such transaction, the "Transfer"). F2 · shares: Pursuant to the Issuer's Third Amended and Restated Certificate of Incorporation filed in connection with the Closing of the Business Combination, the Issuer completed a reclassification exempt under Rule 16b-7 (the "Reclassification"). In accordance with the Reclassification, each share of the Issuer's Class A Common Stock, par value $0.0001 per share (the "Class A Common Stock"), was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001 (the "Common Stock"). F3 · price: These shares were originally shares of AHAC's Class B Common Stock, par value $0.0001 per share (the "Class B Founder Shares"), that the Sponsor owned prior to the Business Combination. In connection with the Closing of the Business Combination, the Class B Founder Shares automatically converted into shares of the Issuer's Class A Common Stock on a one-for-one basis on the Closing Date, and the Class A Common Stock was then reclassified on a one-for-one basis into Common Stock in accordance with the Reclassification. In accordance with an instruction letter to the Sponsor's transfer agent (the "Instruction Letter"), the Sponsor instructed the Transfer Agent to transfer these shares to certain of the Sponsor's members for no consideration (such transaction, the "Transfer"). F4 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 28, 2023 Filed Mar 24, 2023 21:21 UTC Amendment	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherCommon Stock, par value $0.0001	21,252	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-008972 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Sansur Associates, LLC Disclosed balance after: 21,252 F1 · security: This Form 4/A is being filed jointly by Aesther Healthcare Sponsor, LLC (the "Sponsor") and Suren Ajjarapu ("Mr. Ajjarapu") to amend the previous Form 4 filed by the Sponsor and Mr. Ajjarapu on March 2, 2023 (the "Prior Form 4"). The purpose of this Form 4/A is to: (i) report a previously omitted acquisition of common stock, par value $0.0001 per share (the "Common Stock"), of Ocean Biomedical, Inc. (the "Issuer") by Sansur Associates, LLC ("Sansur"), which Mr. Ajjarapu may be deemed to have an indirect beneficial interest in; (ii) correct the footnote disclosures related to the trustees of the Surendra Ajjarapu Revocable Trust of 2007 (the "Surendra Trust") and the Sandhya Ajjarapu Revocable Trust of 2007 (the "Sandhya Trust"); and (iii) report that, following the Distribution (defined in footnote 2 below), the Sponsor no longer holds more than 10% of any class of the Issuer's securities. F2 · kind: As disclosed in the Prior Form 4, on February 28, 2023, the Sponsor made a distribution for no consideration of 2,625,000 shares of Common Stock to certain of its members (the "Distribution"), including the Surendra Trust and the Sandhya Trust. This Form 4/A is being filed to report that as part of the Distribution, the Sponsor also distributed 21,252 shares to Sansur Associates, LLC ("Sansur"), of which Mr. Ajjarapu is the manager. The 21,252 shares of Common Stock distributed to Sansur and Mr. Ajjarapu's indirect beneficial interest therein were inadvertently omitted from the Prior Form 4. F2 · price: As disclosed in the Prior Form 4, on February 28, 2023, the Sponsor made a distribution for no consideration of 2,625,000 shares of Common Stock to certain of its members (the "Distribution"), including the Surendra Trust and the Sandhya Trust. This Form 4/A is being filed to report that as part of the Distribution, the Sponsor also distributed 21,252 shares to Sansur Associates, LLC ("Sansur"), of which Mr. Ajjarapu is the manager. The 21,252 shares of Common Stock distributed to Sansur and Mr. Ajjarapu's indirect beneficial interest therein were inadvertently omitted from the Prior Form 4. F3 · balance_after: These shares of Common Stock are owned directly by Sansur. As manager of Sansur, Mr. Ajjarapu may be deemed to be the indirect beneficial owner of the securities held by Sansur. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. F3 · ownership.nature: These shares of Common Stock are owned directly by Sansur. As manager of Sansur, Mr. Ajjarapu may be deemed to be the indirect beneficial owner of the securities held by Sansur. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 15, 2023 Filed Feb 16, 2023 21:07 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	GrantStock Option (right to buy) · Derivative	75,000	$0.00 Strike: $10.00	$0.00	Disclosure SEC source: 0001493152-23-005358 · ownership.xml · derivative · entry 9 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2033-02-15 F9 · derivative.exercise_date: Represents a right to purchase 75,000 shares of the Issuer's common stock, par value $0.0001 per share (collectively, the "Option Shares"), upon the exercise of a ten-year option granted to Mr. Ajjarapu as a non-employee director of the Issuer on February 15, 2023 under the Issuer's 2022 Stock Option and Incentive Plan. This option becomes exercisable in 36 monthly installments beginning on March 15, 2023, with 2,083 Option Shares becoming exercisable on each of the first 35 installments and the remaining 2,095 Option Shares becoming exercisable on the final installment, subject to Mr. Ajjarapu remaining in service as a member of the Issuer's board of directors on each installment date. This option is exercisable at an exercise price per Option Share equal to the greater of (i) $10, or (ii) the closing trading price of the Issuer's common stock on February 15, 2023, which was $6.06. F10 · ownership.direct: These securities are owned directly by Mr. Ajjarapu, a director of the Issuer. Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:07 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherEarnout Rights · Derivative	3,000,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-005358 · ownership.xml · derivative · entry 8 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC(3)q Disclosed balance after: 3,000,000 Underlying: Common Stock · 3,000,000 shares Expires 2026-02-14 F8 · derivative.exercise_price: Pursuant to the Reclassification that was effected in connection with the Closing of the Business Combination, each Issuer Class A Common Share underlying the Earnout Rights of the Sponsor was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F8 · kind: Pursuant to the Reclassification that was effected in connection with the Closing of the Business Combination, each Issuer Class A Common Share underlying the Earnout Rights of the Sponsor was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F8 · price: Pursuant to the Reclassification that was effected in connection with the Closing of the Business Combination, each Issuer Class A Common Share underlying the Earnout Rights of the Sponsor was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F8 · derivative.exercise_date: Pursuant to the Reclassification that was effected in connection with the Closing of the Business Combination, each Issuer Class A Common Share underlying the Earnout Rights of the Sponsor was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:07 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherEarnout Rights · Derivative	3,000,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-005358 · ownership.xml · derivative · entry 7 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 3,000,000 shares Expires 2026-02-14 F8 · derivative.exercise_price: Pursuant to the Reclassification that was effected in connection with the Closing of the Business Combination, each Issuer Class A Common Share underlying the Earnout Rights of the Sponsor was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F8 · kind: Pursuant to the Reclassification that was effected in connection with the Closing of the Business Combination, each Issuer Class A Common Share underlying the Earnout Rights of the Sponsor was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F8 · price: Pursuant to the Reclassification that was effected in connection with the Closing of the Business Combination, each Issuer Class A Common Share underlying the Earnout Rights of the Sponsor was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F8 · derivative.exercise_date: Pursuant to the Reclassification that was effected in connection with the Closing of the Business Combination, each Issuer Class A Common Share underlying the Earnout Rights of the Sponsor was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F3 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:07 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherEarnout Rights · Derivative	3,000,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-005358 · ownership.xml · derivative · entry 6 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 3,000,000 Underlying: Class A Common Stock · 3,000,000 shares Expires 2026-02-14 F5 · security: Pursuant to the Business Combination Agreement, as additional consideration for the Merger, the former stockholders of Legacy Ocean (the "Pre-Merger Stockholders") have the contingent right (the "Earnout Right") to receive additional Issuer Class A Common Shares (the "Earnout Shares"), distributed in three Earnout Share Payments, if, for 20 out of any 30 consecutive trading days during the period from the Closing Date until the 36-month anniversary of the Closing Date (the "Earnout Period"), the Issuer's VWAP equals or exceeds: (i) $15.00 per share, (ii) $17.50 per share, and (iii) $20.00 per share. F6 · derivative.exercise_price: In addition to the Pre-Merger Stockholders' Earnout Right to receive up to three Earnout Share Payments if the Issuer's VWAP equals or exceeds the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period, the Business Combination Agreement grants the Sponsor an Earnout Right to receive an additional 1,000,000 Issuer Class A Common Shares for each Earnout Share Payment issued to the Pre-Merger Stockholders. Accordingly, the Sponsor is entitled to receive up to 3,000,000 Earnout Shares, 1,000,000 of which will be issued in connection with each of the three Earnout Share Payments. The Sponsor's right to receive Earnout Shares pursuant to the Earnout Right granted in the Business Combination Agreement became fixed and irrevocable on the Closing Date of the Merger. F6 · kind: In addition to the Pre-Merger Stockholders' Earnout Right to receive up to three Earnout Share Payments if the Issuer's VWAP equals or exceeds the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period, the Business Combination Agreement grants the Sponsor an Earnout Right to receive an additional 1,000,000 Issuer Class A Common Shares for each Earnout Share Payment issued to the Pre-Merger Stockholders. Accordingly, the Sponsor is entitled to receive up to 3,000,000 Earnout Shares, 1,000,000 of which will be issued in connection with each of the three Earnout Share Payments. The Sponsor's right to receive Earnout Shares pursuant to the Earnout Right granted in the Business Combination Agreement became fixed and irrevocable on the Closing Date of the Merger. F6 · price: In addition to the Pre-Merger Stockholders' Earnout Right to receive up to three Earnout Share Payments if the Issuer's VWAP equals or exceeds the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period, the Business Combination Agreement grants the Sponsor an Earnout Right to receive an additional 1,000,000 Issuer Class A Common Shares for each Earnout Share Payment issued to the Pre-Merger Stockholders. Accordingly, the Sponsor is entitled to receive up to 3,000,000 Earnout Shares, 1,000,000 of which will be issued in connection with each of the three Earnout Share Payments. The Sponsor's right to receive Earnout Shares pursuant to the Earnout Right granted in the Business Combination Agreement became fixed and irrevocable on the Closing Date of the Merger. F6 · derivative.exercise_date: In addition to the Pre-Merger Stockholders' Earnout Right to receive up to three Earnout Share Payments if the Issuer's VWAP equals or exceeds the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period, the Business Combination Agreement grants the Sponsor an Earnout Right to receive an additional 1,000,000 Issuer Class A Common Shares for each Earnout Share Payment issued to the Pre-Merger Stockholders. Accordingly, the Sponsor is entitled to receive up to 3,000,000 Earnout Shares, 1,000,000 of which will be issued in connection with each of the three Earnout Share Payments. The Sponsor's right to receive Earnout Shares pursuant to the Earnout Right granted in the Business Combination Agreement became fixed and irrevocable on the Closing Date of the Merger. F3 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:07 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	ConversionClass B Common Stock, par value $0.0001 · Derivative	2,625,000	$0.00	$0.00	Disclosure SEC source: 0001493152-23-005358 · ownership.xml · derivative · entry 5 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 2,625,000 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. F4 · derivative.exercise_price: The Sponsor owned 2,625,000 shares of Class B Common Stock, par value $0.0001 per share, of AHAC (the "Class B Founder Shares") prior to the Merger. In connection with the closing of the Business Combination (the "Closing"), the Class B Founder Shares automatically converted into Issuer Class A Common Shares on a one-for-one basis on the Closing Date. The Class A Common Stock has no expiration date. F4 · derivative.exercise_date: The Sponsor owned 2,625,000 shares of Class B Common Stock, par value $0.0001 per share, of AHAC (the "Class B Founder Shares") prior to the Merger. In connection with the closing of the Business Combination (the "Closing"), the Class B Founder Shares automatically converted into Issuer Class A Common Shares on a one-for-one basis on the Closing Date. The Class A Common Stock has no expiration date. F4 · derivative.expiration_date: The Sponsor owned 2,625,000 shares of Class B Common Stock, par value $0.0001 per share, of AHAC (the "Class B Founder Shares") prior to the Merger. In connection with the closing of the Business Combination (the "Closing"), the Class B Founder Shares automatically converted into Issuer Class A Common Shares on a one-for-one basis on the Closing Date. The Class A Common Stock has no expiration date. F3 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:07 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherCommon Stock, par value $0.0001	3,990,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-005358 · ownership.xml · nonDerivative · entry 4 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 3,990,000 F7 · kind: Pursuant to the Issuer's Third Amended and Restated Certificate of Incorporation filed in connection with the Closing of the Business Combination, the Issuer completed a reclassification exempt under Rule 16b-7 (the "Reclassification"). In accordance with the Reclassification, each Issuer Class A Common Share was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F7 · price: Pursuant to the Issuer's Third Amended and Restated Certificate of Incorporation filed in connection with the Closing of the Business Combination, the Issuer completed a reclassification exempt under Rule 16b-7 (the "Reclassification"). In accordance with the Reclassification, each Issuer Class A Common Share was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F3 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:07 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherClass A Common Stock, par value $0.0001	3,990,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-005358 · ownership.xml · nonDerivative · entry 3 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 0 F7 · kind: Pursuant to the Issuer's Third Amended and Restated Certificate of Incorporation filed in connection with the Closing of the Business Combination, the Issuer completed a reclassification exempt under Rule 16b-7 (the "Reclassification"). In accordance with the Reclassification, each Issuer Class A Common Share was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F7 · price: Pursuant to the Issuer's Third Amended and Restated Certificate of Incorporation filed in connection with the Closing of the Business Combination, the Issuer completed a reclassification exempt under Rule 16b-7 (the "Reclassification"). In accordance with the Reclassification, each Issuer Class A Common Share was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001. F3 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:07 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	ConversionClass A Common Stock, par value $0.0001	2,625,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-005358 · ownership.xml · nonDerivative · entry 2 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 3,990,000 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. F4 · price: The Sponsor owned 2,625,000 shares of Class B Common Stock, par value $0.0001 per share, of AHAC (the "Class B Founder Shares") prior to the Merger. In connection with the closing of the Business Combination (the "Closing"), the Class B Founder Shares automatically converted into Issuer Class A Common Shares on a one-for-one basis on the Closing Date. The Class A Common Stock has no expiration date. F3 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 14, 2023 Filed Feb 16, 2023 21:07 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	GrantClass A Common Stock, par value $0.0001	1,365,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-23-005358 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 1,365,000 F1 · kind: An Agreement and Plan of Merger was entered into on August 31, 2022 and amended on December 5, 2022 (as amended, the "Business Combination Agreement"; such transactions contemplated thereby, collectively, the "Business Combination") between Ocean Biomedical Holdings, Inc., formerly known as Ocean Biomedical, Inc. ("Legacy Ocean"), Aesther Healthcare Acquisition Corp. ("AHAC"), AHAC Merger Sub, Inc. ("Merger Sub"), and certain other parties thereto. In accordance with the Business Combination Agreement, on February 14, 2023 (the "Closing Date"), (i) Merger Sub merged with and into Legacy Ocean (such transaction, the "Merger"), (ii) Legacy Ocean continued as the surviving entity of the Merger and a wholly-owned subsidiary of AHAC, and (iii) AHAC changed its name to Ocean Biomedical, Inc. (such post-Business Combination entity, the "Issuer"). Capitalized terms that are used but not defined in this Form 4 have the meanings given to them in the Business Combination Agreement. F2 · shares: Represents shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Issuer Class A Common Shares"), issued to Aesther Healthcare Sponsor, LLC (the "Sponsor") as consideration for the Sponsor exercising two three-month extensions of a loan to AHAC, pursuant to which AHAC was originally required to complete an initial business combination by September 16, 2022. F2 · price: Represents shares of the Issuer's Class A Common Stock, par value $0.0001 per share ("Issuer Class A Common Shares"), issued to Aesther Healthcare Sponsor, LLC (the "Sponsor") as consideration for the Sponsor exercising two three-month extensions of a loan to AHAC, pursuant to which AHAC was originally required to complete an initial business combination by September 16, 2022. F3 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 14, 2023 Filed Mar 2, 2023 21:55 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherPrivate Placement Warrant · Derivative	5,411,000	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001493152-23-006622 · ownership.xml · derivative · entry 6 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 5,411,000 Underlying: Common Stock · 5,411,000 shares Expires 2028-02-14 F12 · kind: Upon the Reclassification that was effected in connection with the Closing of the Business Combination, each share of the Issuer's Class A Common Stock underlying the Private Placement Warrants was reclassified into a share of the Issuer's Common Stock. F12 · price: Upon the Reclassification that was effected in connection with the Closing of the Business Combination, each share of the Issuer's Class A Common Stock underlying the Private Placement Warrants was reclassified into a share of the Issuer's Common Stock. F12 · derivative.exercise_date: Upon the Reclassification that was effected in connection with the Closing of the Business Combination, each share of the Issuer's Class A Common Stock underlying the Private Placement Warrants was reclassified into a share of the Issuer's Common Stock. F11 · derivative.expiration_date: The Private Placement Warrants expire on the earlier to occur of (i) February 14, 2028, the date that is five years after the Closing of the Business Combination, (ii) at 5:00 p.m., New York City time on the Redemption Date (as defined in the Warrant Agreement), and (iii) the liquidation of the Trust Account (as defined in the Warrant Agreement). F4 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 14, 2023 Filed Mar 2, 2023 21:55 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	OtherPrivate Placement Warrant · Derivative	5,411,000	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0001493152-23-006622 · ownership.xml · derivative · entry 5 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 5,411,000 shares Expires 2028-02-14 F12 · kind: Upon the Reclassification that was effected in connection with the Closing of the Business Combination, each share of the Issuer's Class A Common Stock underlying the Private Placement Warrants was reclassified into a share of the Issuer's Common Stock. F12 · price: Upon the Reclassification that was effected in connection with the Closing of the Business Combination, each share of the Issuer's Class A Common Stock underlying the Private Placement Warrants was reclassified into a share of the Issuer's Common Stock. F12 · derivative.exercise_date: Upon the Reclassification that was effected in connection with the Closing of the Business Combination, each share of the Issuer's Class A Common Stock underlying the Private Placement Warrants was reclassified into a share of the Issuer's Common Stock. F11 · derivative.expiration_date: The Private Placement Warrants expire on the earlier to occur of (i) February 14, 2028, the date that is five years after the Closing of the Business Combination, (ii) at 5:00 p.m., New York City time on the Redemption Date (as defined in the Warrant Agreement), and (iii) the liquidation of the Trust Account (as defined in the Warrant Agreement). F4 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
February 14, 2023 Filed Mar 2, 2023 21:55 UTC	Ocean Biomedical, Inc. OCEA · Entity 8695	PurchasePrivate Placement Warrant · Derivative	5,411,000	$1.00 Strike: $11.50	$5,411,000.00	Disclosure SEC source: 0001493152-23-006622 · ownership.xml · derivative · entry 4 AJJARAPU SURENDRA K · CIK 0001368298 · Director · 10% owner Aesther Healthcare Sponsor, LLC · CIK 0001884003 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 5,411,000 Underlying: Class A Common Stock · 5,411,000 shares Expires 2028-02-14 F9 · security: Simultaneously with the closing of the AHAC's initial public offering (the "IPO") on September 17, 2021, the Sponsor purchased 5,411,000 warrants (the "Private Placement Warrants") from AHAC in a private placement at a price of $1.00 per warrant, pursuant to the terms of the Private Placement Warrants Purchase Agreement between AHAC and the Sponsor dated September 14, 2021 (the "Private Placement Agreement"). The Private Placement Warrants are reported as acquired for purposes of Section 16 of the Exchange Act concurrent with the Closing of the Business Combination, because, pursuant to their terms, their exercise was not within the control of the Reporting Persons until the Closing. F10 · derivative.exercise_price: According to the original terms of the Private Placement Agreement, each Private Placement Warrant was exercisable to purchase one share of the Issuer's Class A Common Stock at an exercise price of $11.50 per share. The terms of the Private Placement Warrant were set forth in the Warrant Agreement, dated September 14, 2021, between AHAC and Continental Stock Transfer & Trust Company, LLC (the "Warrant Agent"). The Private Placement Warrants become exercisable 30 days after the Closing of the Business Combination. F9 · kind: Simultaneously with the closing of the AHAC's initial public offering (the "IPO") on September 17, 2021, the Sponsor purchased 5,411,000 warrants (the "Private Placement Warrants") from AHAC in a private placement at a price of $1.00 per warrant, pursuant to the terms of the Private Placement Warrants Purchase Agreement between AHAC and the Sponsor dated September 14, 2021 (the "Private Placement Agreement"). The Private Placement Warrants are reported as acquired for purposes of Section 16 of the Exchange Act concurrent with the Closing of the Business Combination, because, pursuant to their terms, their exercise was not within the control of the Reporting Persons until the Closing. F10 · derivative.exercise_date: According to the original terms of the Private Placement Agreement, each Private Placement Warrant was exercisable to purchase one share of the Issuer's Class A Common Stock at an exercise price of $11.50 per share. The terms of the Private Placement Warrant were set forth in the Warrant Agreement, dated September 14, 2021, between AHAC and Continental Stock Transfer & Trust Company, LLC (the "Warrant Agent"). The Private Placement Warrants become exercisable 30 days after the Closing of the Business Combination. F11 · derivative.expiration_date: The Private Placement Warrants expire on the earlier to occur of (i) February 14, 2028, the date that is five years after the Closing of the Business Combination, (ii) at 5:00 p.m., New York City time on the Redemption Date (as defined in the Warrant Agreement), and (iii) the liquidation of the Trust Account (as defined in the Warrant Agreement). F4 · ownership.nature: These securities are owned directly by the Sponsor. Suren Ajjarapu, a director of the Issuer, is the managing member of the Sponsor and therefore may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Mr. Ajjarapu disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document
September 01, 2022 Filed Sep 16, 2022 20:57 UTC	Scienture Holdings, Inc. MEDS · Entity 7802	GrantCommon stock	51,724	$0.00	$0.00	Disclosure SEC source: 0001493152-22-026089 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,164,240 F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on September 30, 2022, October 31, 2022, November 30, 2022 and December 31, 2022, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d). F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as Chief Executive Officer. Read SEC document
May 20, 2022 Filed May 23, 2022 14:01 UTC Amendment	Scienture Holdings, Inc. MEDS · Entity 7802	PurchaseCommon stock	10,000	$1.30	$13,000.00	Disclosure SEC source: 0001493152-22-014703 · ownership.xml · nonDerivative · entry 4 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Sandhya Ajjarapu Revocable Trust of 2007 which Reporting Person controls as trustee Disclosed balance after: 222,500 Read SEC document
May 20, 2022 Filed May 23, 2022 13:15 UTC	Scienture Holdings, Inc. MEDS · Entity 7802	PurchaseCommon stock	10,000	$13,000.00	$130,000,000.00	Disclosure SEC source: 0001493152-22-014698 · ownership.xml · nonDerivative · entry 4 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Sandhya Ajjarapu Revocable Trust of 2007 which Reporting Person controls as trustee Disclosed balance after: 222,500 Read SEC document
November 03, 2021 Filed Dec 16, 2021 16:35 UTC	Ocean Biomedical, Inc. AEHA · Entity 8695	OtherClass B common stock · Derivative	250,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-21-031722 · ownership.xml · derivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Aesther Healthcare Sponsor, LLC Disclosed balance after: 2,625,000 Underlying: Class A common stock · 250,000 shares Expires not disclosed F1 · derivative.exercise_price: This Form 4 reflects the automatic surrender to the issuer of 250,000 shares of the issuer's Class B common stock, par value $0.0001 per share ("Class B Shares"), for no consideration by Aesther Healthcare Sponsor, LLC (the "Sponsor") pursuant to contractual arrangements with the issuer, triggered by the expiration of the option of the underwriters of the issuer's initial public offering to purchase additional units. F1 · kind: This Form 4 reflects the automatic surrender to the issuer of 250,000 shares of the issuer's Class B common stock, par value $0.0001 per share ("Class B Shares"), for no consideration by Aesther Healthcare Sponsor, LLC (the "Sponsor") pursuant to contractual arrangements with the issuer, triggered by the expiration of the option of the underwriters of the issuer's initial public offering to purchase additional units. F2 · price: As described in the issuer's registration statement on Form S-1 (File No. 333-258012) under the heading "Description of Securities-Founder Shares", the Class B Shares will automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer 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. 333-258012) under the heading "Description of Securities-Founder Shares", the Class B Shares will automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer 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. 333-258012) under the heading "Description of Securities-Founder Shares", the Class B Shares will automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer 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. F3 · ownership.direct: The securities reported herein are held directly by the Sponsor. Suren Ajjarapu is the managing member of the Sponsor and Chief Executive Officer of the Issuer. As such, the Reporting Person may be deemed to have beneficial ownership of such shares. Mr. Ajjarapu disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document
June 12, 2020 Filed Jun 16, 2020 21:00 UTC	Scienture Holdings, Inc. MEDS · Entity 7802	OtherCommon stock	201,613	Not disclosed	Not disclosed	Disclosure SEC source: 0001493152-20-011267 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,112,516 F1 · kind: In April 2018, Mr. Ajjarapu, through an entity which he owned, entered into an agreement with a third party to purchase certain shares of common stock of Nexgen Memantine, Inc. ("Nexgen"). The purchase price for the shares was $1.5 million, which amount was due prior to December 31, 2019. In order to secure the payment of the purchase price, Mr. Ajjarapu provided the seller a security interest in, and pledged into escrow, 212,500 of his shares of the Issuer's common stock. Mr. Ajjarapu retained all voting and other rights associated with the pledged stock. F2 · kind: The purchase agreement provided that if the purchase price was not paid on December 31, 2019, an amount of Mr. Ajjarapu's shares equal in value to $1.5 million, based on 30-day average stock prices, would be transferred to the seller to satisfy the $1.5 million obligation. The purchase price was not paid on December 31, 2019, and Mr. Ajjarapu, effective on June 12, 2020, transferred 201,613 shares of the Issuer's common stock to the seller, based on a 30-day average stock price of $7.44, to satisfy the stock purchase obligation. F2 · price: The purchase agreement provided that if the purchase price was not paid on December 31, 2019, an amount of Mr. Ajjarapu's shares equal in value to $1.5 million, based on 30-day average stock prices, would be transferred to the seller to satisfy the $1.5 million obligation. The purchase price was not paid on December 31, 2019, and Mr. Ajjarapu, effective on June 12, 2020, transferred 201,613 shares of the Issuer's common stock to the seller, based on a 30-day average stock price of $7.44, to satisfy the stock purchase obligation. Read SEC document
April 14, 2020 Filed Apr 16, 2020 00:55 UTC	Scienture Holdings, Inc. MEDS · Entity 7802	GrantCommon stock	49,020	$6.12	$300,002.40	Disclosure SEC source: 0001493152-20-006506 · ownership.xml · nonDerivative · entry 2 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,314,129 F3 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest upon the Company reaching certain milestones as of December 31, 2020, as set forth in greater detail in the Reporting Person's employment agreement with the Company, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d). F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as CEO of the Issuer. Read SEC document
April 14, 2020 Filed Apr 16, 2020 00:55 UTC	Scienture Holdings, Inc. MEDS · Entity 7802	GrantCommon stock	74,484	$6.12	$455,842.08	Disclosure SEC source: 0001493152-20-006506 · ownership.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,265,109 F1 · shares: Shares are fully earned as of April 14, 2020. The table above includes the full amount of such shares which are fully earned by the Reporting Person as of April 14, 2020, even though such shares have not been issued as of the date of this filing. F2 · price: Issued to the Reporting Person as a compensation bonus for 2019. Exempt under Rule 16b-3(d). Read SEC document
May 13, 2019 Filed May 14, 2019 19:50 UTC	Scienture Holdings, Inc. TRXD · Entity 7802	GrantStock Option · Derivative	100,000	$0.00 Strike: $0.44	$0.00	Disclosure SEC source: 0001078782-19-000430 · primary_doc.xml · derivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,473,750 Underlying: Common Stock · 100,000 shares Expires 2019-05-13 F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years. Read SEC document
November 15, 2017 Filed Feb 12, 2018 22:03 UTC	Scienture Holdings, Inc. TRXD · Entity 7802	SaleCommon Stock	250,000	$112,500.00	$28,125,000,000.00	Disclosure SEC source: 0001078782-18-000131 · primary_doc.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,743,750 Read SEC document
December 30, 2016 Filed Apr 24, 2017 23:02 UTC	Scienture Holdings, Inc. TRXD · Entity 7802	GiftCommon Stock	156,250	$101,563.00	$15,869,218,750.00	Disclosure SEC source: 0001078782-17-000547 · primary_doc.xml · nonDerivative · entry 1 AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,993,750 Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.