0001493152-23-000319.txt : 20230104 0001493152-23-000319.hdr.sgml : 20230104 20230104161042 ACCESSION NUMBER: 0001493152-23-000319 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221229 FILED AS OF DATE: 20230104 DATE AS OF CHANGE: 20230104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Adkins William CENTRAL INDEX KEY: 0001945434 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41488 FILM NUMBER: 23506441 MAIL ADDRESS: STREET 1: SHUTTLE PHARMACEUTICALS HOLDINGS, INC. STREET 2: ONE RESEARCH COURT, SUITE 450 CITY: ROCKVILLE STATE: MD ZIP: 20850 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Shuttle Pharmaceuticals Holdings, Inc. CENTRAL INDEX KEY: 0001757499 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE RESEARCH COURT STREET 2: SUITE 450 CITY: ROCKVILLE STATE: MD ZIP: 20850 BUSINESS PHONE: 2404034212 MAIL ADDRESS: STREET 1: ONE RESEARCH COURT STREET 2: SUITE 450 CITY: ROCKVILLE STATE: MD ZIP: 20850 4 1 ownership.xml X0306 4 2022-12-29 1 0001757499 Shuttle Pharmaceuticals Holdings, Inc. SHPH 0001945434 Adkins William C/O SHUTTLE PHARMACEUTICALS HOLDINGS ONE RESEARCH COURT, SUITE 450 ROCKVILLE MD 20850 0 0 0 1 Former Director COMMON STOCK 2022-12-29 4 S 0 995 1.605 D 184071 D WARRANTS (right to buy) 4.00 2022-09-02 4 J 0 138889 A 2022-09-02 2025-09-02 Common Stock 138889 138889 D Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of 2,702 restricted stock units ("RSUs") held by the Reporting Person. Upon vesting of the RSUs, the sales are automatic, routine, non-discretionary transactions mandated by the Issuer under its equity incentive plan in order to satisfy the Reporting Person's tax withholding obligations which are funded by "sell to cover" transactions. These transactions are exempt under Section 16b-3 and do not represent discretionary trades by the Reporting Person. Consists of (i) 1,707 shares of Common Stock held by the Reporting Person and (ii) 182,364 shares of common stock held by the William Henry Adkins and Pauline Adkins 1993 Revocable Trust (the "Adkins Trust"). Consists of warrants to purchase 138,889 shares of common stock held by the Adkins Trust. The Adkins Trust was a holder of the Issuer's Series A convertible preferred stock, which stock converted into commons stock upon completion of the Issuer's IPO and at which time the warrants were issued to the Series A holders in accordance with the terms of the Series A preferred stock offering. Previously, the Reporting Person's warrant holdings had been reported in Table I of the Reporting Person's Form 3. This Form 4 has corrected the error and moved the warrant holdings to Table II. The Reporting Person ceased being a director of SHPH in December 2022 and is no longer subject to Section 16 reporting requirements. /s/ William H. Adkins 2023-01-04