0000950170-24-106857.txt : 20240916
0000950170-24-106857.hdr.sgml : 20240916
20240916163007
ACCESSION NUMBER: 0000950170-24-106857
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240913
FILED AS OF DATE: 20240916
DATE AS OF CHANGE: 20240916
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Upton Richard A
CENTRAL INDEX KEY: 0001375726
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40228
FILM NUMBER: 241301434
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]
ORGANIZATION NAME: 08 Industrial Applications and Services
IRS NUMBER: 861645738
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2403 SIDNEY STREET, SUITE 300
CITY: PITTSBURGH
STATE: PA
ZIP: 15203
BUSINESS PHONE: 412-894-8248
MAIL ADDRESS:
STREET 1: 2403 SIDNEY STREET, SUITE 300
CITY: PITTSBURGH
STATE: PA
ZIP: 15203
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
2024-09-13
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
2024-09-13
4
P
false
5000
0.4672
A
15000
D
Common Stock
59260
D
Commmon Stock
1358019
I
Harbor Light Capital Partners
The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $0.458 to $0.480, 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.
The shares beneficially owned by the Reporting Person include 59,260 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of the date of this filing.
Carmell Series of Harbor Light Direct Investment, LLC is the record holder of 1,248,114 shares and Harbor Light Direct Investment, LP is the record holder of 109,905 shares. The Reporting Person is the General Partner of Harbor Light Capital Partners, the investment manager to these entities, and may be deemed the beneficial owner of such shares. The Reporting Person disclaims beneficial ownership over any securities in which he does not have a pecuniary interest.
/s/ Richard Upton
2024-09-16