0000950170-23-070174.txt : 20231213 0000950170-23-070174.hdr.sgml : 20231213 20231213215344 ACCESSION NUMBER: 0000950170-23-070174 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231212 FILED AS OF DATE: 20231213 DATE AS OF CHANGE: 20231213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Upton Richard A CENTRAL INDEX KEY: 0001375726 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40228 FILM NUMBER: 231485449 MAIL ADDRESS: STREET 1: 12 MIDDLE STREET CITY: AMHERST STATE: NH ZIP: 03031 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Carmell Corp CENTRAL INDEX KEY: 0001842939 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS STREET 2: 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 646-494-3296 MAIL ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS STREET 2: 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: Carmell Therapeutics Corp DATE OF NAME CHANGE: 20230727 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA HEALTHCARE ACQUISITION CORP III DATE OF NAME CHANGE: 20210127 4 1 ownership.xml 4 X0508 4 2023-12-12 0001842939 Carmell Corp CTCX 0001375726 Upton Richard A C/O CARMELL CORPORATION 2403 SIDNEY STREET, SUITE 300 PITTSBURGH PA 15203 true false false false false Common Stock 2023-12-12 4 P false 2000 3.50 A 2000 D Common Stock 2023-12-13 4 P false 2400 3.4710 A 4400 D Common Stock 2021-09-23 4 J false 0 0 A 44845 D The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $3.46 to $3.48, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 2 The shares beneficially owned by the Reporting Person include 44,845 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of December 13, 2023. /s/ Richard Upton 2023-12-13