KATHURIA CHIRINJEEV

SEC source: 0001163768-25-000008 · form4-10222025_091012.xml · nonDerivative · entry 1

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 943,598

F1 · kind: Represents shares awarded to the Reporting Person as a bonus with a value of $100,000 pursuant to the terms of an employment agreement by and between the Issuer and the Reporting Person.

F1 · price: Represents shares awarded to the Reporting Person as a bonus with a value of $100,000 pursuant to the terms of an employment agreement by and between the Issuer and the Reporting Person.

SEC source: 0001163768-26-000002 · form4a-05262026_050507.xml · nonDerivative · entry 1

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 940,678

F1 · kind: Represents net shares issued to the Reporting Person in connection with a bonus award with a value of $100,000 pursuant to the terms of an employment agreement by and between the Issuer and the Reporting Person.

F2 · shares: On October 22, 2025, the Reporting Person filed a Form 4 which inadvertently reported that 10,000 shares were issued as a bonus with a value of $100,000. In fact, as reported in this amendment, only 7,080 shares were issued due to the withholding of 2,920 shares to satisfy tax withholding obligations.

F1 · price: Represents net shares issued to the Reporting Person in connection with a bonus award with a value of $100,000 pursuant to the terms of an employment agreement by and between the Issuer and the Reporting Person.

SEC source: 0001163768-25-000005 · form4-09172025_010919.xml · nonDerivative · entry 2

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Generation Aerospace, LLC

Disclosed balance after: 3,650,710

F1 · shares: Represents shares sold to the Issuer pursuant to that certain Stock Repurchase Agreement, dated September 7, 2025, between the Issuer and certain stockholders of Issuer.

F2 · ownership.nature: The Reporting Person is the managing member of NGA and may be deemed to have sole voting and dispositive power over the shares of the Issuer's common stock held by NGA. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.

SEC source: 0001163768-25-000005 · form4-09172025_010919.xml · nonDerivative · entry 1

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 933,598

F1 · shares: Represents shares sold to the Issuer pursuant to that certain Stock Repurchase Agreement, dated September 7, 2025, between the Issuer and certain stockholders of Issuer.

SEC source: 0001415889-25-017752 · form4-06192025_010606.xml · derivative · entry 3

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Generation Aerospace, LLC

Disclosed balance after: 0

Underlying: Common Stock · 33,995 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.

F1 · derivative.exercise_price: Represents 1,349,992.22 of the total outstanding principal owed to New Generation Aerospace, LLC ("NGA") that was due under the Amended and Restated Success Fee Agreement, which automatically converted into 33,995 shares of common stock of the Issuer in connection with the closing of the Issuer's initial public offering.

F1 · kind: Represents 1,349,992.22 of the total outstanding principal owed to New Generation Aerospace, LLC ("NGA") that was due under the Amended and Restated Success Fee Agreement, which automatically converted into 33,995 shares of common stock of the Issuer in connection with the closing of the Issuer's initial public offering.

F1 · derivative.exercise_date: Represents 1,349,992.22 of the total outstanding principal owed to New Generation Aerospace, LLC ("NGA") that was due under the Amended and Restated Success Fee Agreement, which automatically converted into 33,995 shares of common stock of the Issuer in connection with the closing of the Issuer's initial public offering.

F1 · derivative.expiration_date: Represents 1,349,992.22 of the total outstanding principal owed to New Generation Aerospace, LLC ("NGA") that was due under the Amended and Restated Success Fee Agreement, which automatically converted into 33,995 shares of common stock of the Issuer in connection with the closing of the Issuer's initial public offering.

F2 · ownership.nature: The Reporting Person is the managing member of NGA and may be deemed to have sole voting and dispositive power over the shares of the Issuer's common stock held by NGA. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.

SEC source: 0001415889-25-017752 · form4-06192025_010606.xml · nonDerivative · entry 1

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · Executive Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Generation Aerospace, LLC

Disclosed balance after: 4,056,344

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

F1 · kind: Represents 1,349,992.22 of the total outstanding principal owed to New Generation Aerospace, LLC ("NGA") that was due under the Amended and Restated Success Fee Agreement, which automatically converted into 33,995 shares of common stock of the Issuer in connection with the closing of the Issuer's initial public offering.

F1 · price: Represents 1,349,992.22 of the total outstanding principal owed to New Generation Aerospace, LLC ("NGA") that was due under the Amended and Restated Success Fee Agreement, which automatically converted into 33,995 shares of common stock of the Issuer in connection with the closing of the Issuer's initial public offering.

F2 · ownership.nature: The Reporting Person is the managing member of NGA and may be deemed to have sole voting and dispositive power over the shares of the Issuer's common stock held by NGA. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.

SEC source: 0001062993-24-001882 · form4.xml · nonDerivative · entry 2

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,955,113

F2 · shares: Subject to the Reporting Person's continued service to the Company, the Restricted Stock Units ("RSUs") shall vest on January 1, 2025; all RSUs shall immediately vest in the event of a Change of Control (as defined in the UpHealth, Inc. 2021 Equity Incentive Plan) of the Company.

SEC source: 0001493152-23-036588 · ownership.xml · nonDerivative · entry 1

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Poseidon Bio, LLC

Disclosed balance after: 22,342,756

F1 · kind: Pursuant to a Master Loan Agreement (the "Agreement") entered into by Poseidon Bio, LLC ("Poseidon") and a third party lender (the "Lender"), on October 2, 2023, Poseidon delivered the Lender 500,000 shares of common stock, par value $0.0001 (the "Shares"), of Ocean Biomedical, Inc. (the "Issuer"), initially valued at $2,050,000 (the "Initial Value"). In connection with the transaction, the Lender is making a three-year, non-recourse loan to Poseidon of $777,500 (the "Loan"), equal to the Loan's gross proceeds of $820,000 (the "Gross Proceeds") less Loan fees. The Shares are not Loan collateral, as the Lender has the absolute right, title, and interest in and to the Shares, including the right to sell, transfer, encumber except for short selling, and vote the Shares. Despite the parties' intention for the Lender to transfer the Shares to Poseidon after the Loan is repaid (see footnote 2), the Lender may be deemed to beneficially own the Shares during the Loan term.

F2 · kind: On the maturity date of the Loan, which is expected to be on or about September 28, 2026 (the "Maturity Date"), Poseidon must pay the Lender (i) the Gross Proceeds, (ii) all unpaid accrued interest on the Loan, (iii) 100% of the excess, if any, of the value of the Shares at the Maturity Date over 125% of the Initial Value, and (iv) any other amounts that Poseidon owes the Lender under the Agreement (collectively, the "Repayment Amount"). Within five business days of Poseidon's payment of the Repayment Amount, the Lender must transfer the Shares to Poseidon, subject to the Lender's right to withhold and set off against the Shares any sums owed to the Lender by Poseidon under the Agreement.

F1 · price: Pursuant to a Master Loan Agreement (the "Agreement") entered into by Poseidon Bio, LLC ("Poseidon") and a third party lender (the "Lender"), on October 2, 2023, Poseidon delivered the Lender 500,000 shares of common stock, par value $0.0001 (the "Shares"), of Ocean Biomedical, Inc. (the "Issuer"), initially valued at $2,050,000 (the "Initial Value"). In connection with the transaction, the Lender is making a three-year, non-recourse loan to Poseidon of $777,500 (the "Loan"), equal to the Loan's gross proceeds of $820,000 (the "Gross Proceeds") less Loan fees. The Shares are not Loan collateral, as the Lender has the absolute right, title, and interest in and to the Shares, including the right to sell, transfer, encumber except for short selling, and vote the Shares. Despite the parties' intention for the Lender to transfer the Shares to Poseidon after the Loan is repaid (see footnote 2), the Lender may be deemed to beneficially own the Shares during the Loan term.

F3 · ownership.nature: These securities are owned directly by Poseidon, a 10% owner of the Issuer, and indirectly by Dr. Chirinjeev Kathuria ("Dr. Kathuria"), as a Managing Director of Poseidon. Dr. Kathuria is also the Executive Chairman and a director of the Issuer. Dr. Kathuria disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-005367 · ownership.xml · derivative · entry 12

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Poseidon Bio, LLC

Disclosed balance after: 18,582,930

Underlying: Common Stock · 18,582,930 shares

Expires 2026-02-14

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F5 · ownership.nature: These securities are owned directly by Poseidon, a 10% owner of the Issuer, and indirectly by Dr. Kathuria, as a Managing Director of Poseidon. Dr. Kathuria disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-005367 · ownership.xml · derivative · entry 11

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Poseidon Bio, LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · 18,582,930 shares

Expires 2026-02-14

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F5 · ownership.nature: These securities are owned directly by Poseidon, a 10% owner of the Issuer, and indirectly by Dr. Kathuria, as a Managing Director of Poseidon. Dr. Kathuria disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-005367 · ownership.xml · derivative · entry 10

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,656

Underlying: Common Stock · 371,656 shares

Expires 2026-02-14

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F3 · ownership.direct: These securities are owned directly by Dr. Kathuria.

SEC source: 0001493152-23-005367 · ownership.xml · derivative · entry 9

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 371,656 shares

Expires 2026-02-14

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F10 · 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 Dr. Kathuria and Poseidon were reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001.

F3 · ownership.direct: These securities are owned directly by Dr. Kathuria.

SEC source: 0001493152-23-005367 · ownership.xml · derivative · entry 8

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Poseidon Bio, LLC

Disclosed balance after: 18,582,930

Underlying: Class A Common Stock · 18,582,930 shares

Expires 2026-02-14

F6 · security: As additional Merger consideration, the former Legacy Ocean stockholders (the "Pre-Merger Stockholders") have the contingent right (the "Earnout Right") to receive up to an aggregate maximum of 19,000,000 shares of the Issuer's common stock (the "Earnout Shares"), issued 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 thereof (the "Earnout Period"), the Issuer's VWAP equals or exceeds: (i) $15.00 per share, in which case each Pre-Merger Stockholder will be issued its Pro Rata Share of 5,000,000 Earnout Shares (the "First Earnout Share Payment"); (ii) $17.50 per share, in which case each Pre-Merger Stockholder will be issued its Pro Rata Share of 7,000,000 Earnout Shares (the "Second Earnout Share Payment"); and (iii) $20.00 per share, in which case each Pre-Merger Stockholder will be issued its Pro Rata Share of 7,000,000 Earnout Shares (the "Third Earnout Share Payment").

F8 · derivative.exercise_price: On the Closing Date of the Merger, Poseidon received the Earnout Right to acquire its Pro Rata Share of the aggregate maximum of 19,000,000 Earnout Shares issuable on a contingent basis to the Pre-Merger Stockholders under the Business Combination Agreement, which entitles Poseidon to receive up to 18,582,930 Earnout Shares, (i) 4,890,245 of which will be issued in connection with the First Earnout Share Payment, (ii) 6,846,343 of which will be issued in connection with the Second Earnout Share Payment, and (iii) 6,846,343 of which will be issued in connection with the Third Earnout Share Payment, with each Earnout Share Payment contingent on the Issuer's VWAP equaling or exceeding the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period. Poseidon'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.

F8 · kind: On the Closing Date of the Merger, Poseidon received the Earnout Right to acquire its Pro Rata Share of the aggregate maximum of 19,000,000 Earnout Shares issuable on a contingent basis to the Pre-Merger Stockholders under the Business Combination Agreement, which entitles Poseidon to receive up to 18,582,930 Earnout Shares, (i) 4,890,245 of which will be issued in connection with the First Earnout Share Payment, (ii) 6,846,343 of which will be issued in connection with the Second Earnout Share Payment, and (iii) 6,846,343 of which will be issued in connection with the Third Earnout Share Payment, with each Earnout Share Payment contingent on the Issuer's VWAP equaling or exceeding the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period. Poseidon'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.

F8 · price: On the Closing Date of the Merger, Poseidon received the Earnout Right to acquire its Pro Rata Share of the aggregate maximum of 19,000,000 Earnout Shares issuable on a contingent basis to the Pre-Merger Stockholders under the Business Combination Agreement, which entitles Poseidon to receive up to 18,582,930 Earnout Shares, (i) 4,890,245 of which will be issued in connection with the First Earnout Share Payment, (ii) 6,846,343 of which will be issued in connection with the Second Earnout Share Payment, and (iii) 6,846,343 of which will be issued in connection with the Third Earnout Share Payment, with each Earnout Share Payment contingent on the Issuer's VWAP equaling or exceeding the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period. Poseidon'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.

F8 · derivative.exercise_date: On the Closing Date of the Merger, Poseidon received the Earnout Right to acquire its Pro Rata Share of the aggregate maximum of 19,000,000 Earnout Shares issuable on a contingent basis to the Pre-Merger Stockholders under the Business Combination Agreement, which entitles Poseidon to receive up to 18,582,930 Earnout Shares, (i) 4,890,245 of which will be issued in connection with the First Earnout Share Payment, (ii) 6,846,343 of which will be issued in connection with the Second Earnout Share Payment, and (iii) 6,846,343 of which will be issued in connection with the Third Earnout Share Payment, with each Earnout Share Payment contingent on the Issuer's VWAP equaling or exceeding the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period. Poseidon'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.

F5 · ownership.nature: These securities are owned directly by Poseidon, a 10% owner of the Issuer, and indirectly by Dr. Kathuria, as a Managing Director of Poseidon. Dr. Kathuria disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-005367 · ownership.xml · derivative · entry 7

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,656

Underlying: Class A Common Stock · 371,656 shares

Expires 2026-02-14

F6 · security: As additional Merger consideration, the former Legacy Ocean stockholders (the "Pre-Merger Stockholders") have the contingent right (the "Earnout Right") to receive up to an aggregate maximum of 19,000,000 shares of the Issuer's common stock (the "Earnout Shares"), issued 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 thereof (the "Earnout Period"), the Issuer's VWAP equals or exceeds: (i) $15.00 per share, in which case each Pre-Merger Stockholder will be issued its Pro Rata Share of 5,000,000 Earnout Shares (the "First Earnout Share Payment"); (ii) $17.50 per share, in which case each Pre-Merger Stockholder will be issued its Pro Rata Share of 7,000,000 Earnout Shares (the "Second Earnout Share Payment"); and (iii) $20.00 per share, in which case each Pre-Merger Stockholder will be issued its Pro Rata Share of 7,000,000 Earnout Shares (the "Third Earnout Share Payment").

F7 · derivative.exercise_price: On the Closing Date of the Merger, Dr. Kathuria received the Earnout Right to acquire his Pro Rata Share of the aggregate maximum of 19,000,000 Earnout Shares issuable on a contingent basis to the Pre-Merger Stockholders under the Business Combination Agreement, which entitles Dr. Kathuria to receive up to 371,656 Earnout Shares, (i) 97,804 of which will be issued in connection with the First Earnout Share Payment, (ii) 136,926 of which will be issued in connection with the Second Earnout Share Payment, and (iii) 136,926 of which will be issued in connection with the Third Earnout Share Payment, with each Earnout Share Payment contingent on the Issuer's VWAP equaling or exceeding the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period. Dr. Kathuria'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.

F7 · kind: On the Closing Date of the Merger, Dr. Kathuria received the Earnout Right to acquire his Pro Rata Share of the aggregate maximum of 19,000,000 Earnout Shares issuable on a contingent basis to the Pre-Merger Stockholders under the Business Combination Agreement, which entitles Dr. Kathuria to receive up to 371,656 Earnout Shares, (i) 97,804 of which will be issued in connection with the First Earnout Share Payment, (ii) 136,926 of which will be issued in connection with the Second Earnout Share Payment, and (iii) 136,926 of which will be issued in connection with the Third Earnout Share Payment, with each Earnout Share Payment contingent on the Issuer's VWAP equaling or exceeding the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period. Dr. Kathuria'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.

F7 · price: On the Closing Date of the Merger, Dr. Kathuria received the Earnout Right to acquire his Pro Rata Share of the aggregate maximum of 19,000,000 Earnout Shares issuable on a contingent basis to the Pre-Merger Stockholders under the Business Combination Agreement, which entitles Dr. Kathuria to receive up to 371,656 Earnout Shares, (i) 97,804 of which will be issued in connection with the First Earnout Share Payment, (ii) 136,926 of which will be issued in connection with the Second Earnout Share Payment, and (iii) 136,926 of which will be issued in connection with the Third Earnout Share Payment, with each Earnout Share Payment contingent on the Issuer's VWAP equaling or exceeding the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period. Dr. Kathuria'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.

F7 · derivative.exercise_date: On the Closing Date of the Merger, Dr. Kathuria received the Earnout Right to acquire his Pro Rata Share of the aggregate maximum of 19,000,000 Earnout Shares issuable on a contingent basis to the Pre-Merger Stockholders under the Business Combination Agreement, which entitles Dr. Kathuria to receive up to 371,656 Earnout Shares, (i) 97,804 of which will be issued in connection with the First Earnout Share Payment, (ii) 136,926 of which will be issued in connection with the Second Earnout Share Payment, and (iii) 136,926 of which will be issued in connection with the Third Earnout Share Payment, with each Earnout Share Payment contingent on the Issuer's VWAP equaling or exceeding the required Share Price Target for 20 out of any 30 consecutive trading days during the Earnout Period. Dr. Kathuria'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.direct: These securities are owned directly by Dr. Kathuria.

SEC source: 0001493152-23-005367 · ownership.xml · nonDerivative · entry 6

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Poseidon Bio, LLC

Disclosed balance after: 22,842,756

F9 · 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.

F9 · 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.

F5 · ownership.nature: These securities are owned directly by Poseidon, a 10% owner of the Issuer, and indirectly by Dr. Kathuria, as a Managing Director of Poseidon. Dr. Kathuria disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-005367 · ownership.xml · nonDerivative · entry 5

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Poseidon Bio, LLC

Disclosed balance after: 0

F9 · 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.

F9 · 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.

F5 · ownership.nature: These securities are owned directly by Poseidon, a 10% owner of the Issuer, and indirectly by Dr. Kathuria, as a Managing Director of Poseidon. Dr. Kathuria disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-005367 · ownership.xml · nonDerivative · entry 4

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,852

F9 · 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.

F9 · 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.direct: These securities are owned directly by Dr. Kathuria.

SEC source: 0001493152-23-005367 · ownership.xml · nonDerivative · entry 3

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F9 · 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.

F9 · 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.direct: These securities are owned directly by Dr. Kathuria.

SEC source: 0001493152-23-005367 · ownership.xml · nonDerivative · entry 2

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Poseidon Bio, LLC

Disclosed balance after: 22,842,756

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.

F4 · shares: Represents Issuer Class A Common Shares acquired by Poseidon Bio, LLC ("Poseidon"), as consideration for Poseidon's shares of Legacy Ocean common stock, which AHAC acquired in the Merger on the Closing Date.

F5 · ownership.nature: These securities are owned directly by Poseidon, a 10% owner of the Issuer, and indirectly by Dr. Kathuria, as a Managing Director of Poseidon. Dr. Kathuria disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-005367 · ownership.xml · nonDerivative · entry 1

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

Poseidon Bio, LLC · CIK 0001874219 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,852

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"), acquired by Dr. Chirinjeev Kathuria ("Dr. Kathuria"), the Founder, Executive Chairman, and a director of the Issuer, as consideration for Dr. Kathuria's shares of Legacy Ocean common stock, which AHAC acquired in the Merger on the Closing Date.

F3 · ownership.direct: These securities are owned directly by Dr. Kathuria.

SEC source: 0000899243-22-033677 · doc4.xml · nonDerivative · entry 1

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,551,135

F1 · kind: Transfer of shares of UpHealth, Inc. common stock (such shares, the "Subject Shares") by the Reporting Person, under a reservation of rights, to certain members of Cloudbreak Health, LLC ("Cloudbreak") pursuant to an escrow agreement dated June 15, 2021 that was entered into in connection with a Business Combination Agreement dated November 20, 2020, as amended (the "BCA"), between UpHealth, Inc. (f/k/a GigCapital2, Inc.), UpHealth Holdings, Inc. ("Holdings"), Cloudbreak, Cloudbreak Health Merger Sub, LLC, Mariya Pylypiv, and the Reporting Person. The Reporting Person originally received the Subject Shares in exchange for shares of Holdings in connection with the merger of Holdings into an UpHealth, Inc. subsidiary pursuant to the exchange ratio set forth in the BCA. The closing price of the Subject Shares on the effective date of the merger was $9.38.

F1 · price: Transfer of shares of UpHealth, Inc. common stock (such shares, the "Subject Shares") by the Reporting Person, under a reservation of rights, to certain members of Cloudbreak Health, LLC ("Cloudbreak") pursuant to an escrow agreement dated June 15, 2021 that was entered into in connection with a Business Combination Agreement dated November 20, 2020, as amended (the "BCA"), between UpHealth, Inc. (f/k/a GigCapital2, Inc.), UpHealth Holdings, Inc. ("Holdings"), Cloudbreak, Cloudbreak Health Merger Sub, LLC, Mariya Pylypiv, and the Reporting Person. The Reporting Person originally received the Subject Shares in exchange for shares of Holdings in connection with the merger of Holdings into an UpHealth, Inc. subsidiary pursuant to the exchange ratio set forth in the BCA. The closing price of the Subject Shares on the effective date of the merger was $9.38.

SEC source: 0001062993-21-013521 · form4.xml · nonDerivative · entry 1

KATHURIA CHIRINJEEV · CIK 0001163768 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,239,500

F1 · shares: Subject to the Reporting Person's continued service to the Company, the Restricted Stock Units ("RSUs") shall vest on vest quarterly on each of February 1, May 1, August 1 and November 1, 2022; all RSUs shall immediately vest in the event of a Change of Control (as defined in the UpHealth, Inc. 2021 Equity Incentive Plan) of the Company.

SEC source: 0001062993-21-007609 · form4.xml · nonDerivative · entry 1

KATHURIA CHIRINJEEV · CIK 0001163768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,167,770

F1 · shares: Subject to the Reporting Person's continued service to the Company, 1/3 of the Restricted Stock Units ("RSUs") shall vest on May 1, 2022, and the remaining 2/3 of the RSUs shall vest quarterly on each of August 1, November 1, February 1, and May 1 through May 1, 2024; all RSUs shall immediately vest in the event of a Change of Control (as defined in the UpHealth, Inc. 2021 Equity Incentive Plan) of the Company.

F2 · balance_after: Includes an aggregate of 67,327 RSUs, of which (i) 1/3 of the "RSUs" shall vest on May 1, 2022, and the remaining 2/3 of the RSUs shall vest quarterly on each of August 1, November 1, February 1, and May 1 through May 1, 2024.

SEC source: 0001140361-21-020701 · form4.xml · nonDerivative · entry 1

KATHURIA CHIRINJEEV · CIK 0001163768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,100,443

F1 · price: Received in exchange for 3,991,400 shares of UpHealth Holdings, Inc. ("Holdings") in connection with the merger of Holdings into a subsidiary of UpHealth, Inc. (the "Company") pursuant to the exchange ratio set forth in the business combination agreement between Holdings and the Company. The closing price of the Company's Common Stock on the effective date of the merger was $9.38.