0000950170-23-067903.txt : 20231204 0000950170-23-067903.hdr.sgml : 20231204 20231204215546 ACCESSION NUMBER: 0000950170-23-067903 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231128 FILED AS OF DATE: 20231204 DATE AS OF CHANGE: 20231204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shukla Rajiv CENTRAL INDEX KEY: 0001709033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40228 FILM NUMBER: 231465089 MAIL ADDRESS: STREET 1: EMERALD VIEW SUITE 400 STREET 2: 2054 VISTA PARKWAY CITY: WEST PALM BEACH STATE: FL ZIP: 33411 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 2023-11-28 0001842939 Carmell Corp CTCX 0001709033 Shukla Rajiv C/O CARMELL CORPORATION 2403 SIDNEY STREET, SUITE 300 PITTSBURGH PA 15203 true true true false Chairman and CEO false Common Stock 2023-11-28 2023-11-28 4 P false 2501 2.9201 A 23063 D Common Stock 2023-11-29 2023-11-29 4 P false 5014 2.9075 A 28077 D Common Stock 2023-11-30 2023-11-30 4 P false 5600 2.6637 A 33677 D Common Stock 2023-12-01 2023-12-01 4 P false 502 2.50 A 34179 D Common Stock 2021-07-26 4 J false 0 0 A 4249908 I By AHAC Sponsor III LLC The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $2.86 to $2.93, 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 1. The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $2.83 to $2.99, 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 price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $2.51 to $2.70, 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 3. AHAC Sponsor III LLC (the "Sponsor") is the record holder of these shares and reported the ownership of these shares on Form 3 filed with the SEC on July 26, 2021. The Reporting Person is the managing member of the Sponsor and may be deemed the beneficial owner of the shares held by the Sponsor. The Reporting Person filed a Form 3 related to its indirect beneficial ownership of these shares on July 26, 2021. The Reporting Person disclaims beneficial ownership over any securities in which he does not have a pecuniary interest. /s/ Rajiv Shukla 2023-12-04