0000950170-23-070166.txt : 20231213
0000950170-23-070166.hdr.sgml : 20231213
20231213213654
ACCESSION NUMBER: 0000950170-23-070166
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231211
FILED AS OF DATE: 20231213
DATE AS OF CHANGE: 20231213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gregory Kathryn
CENTRAL INDEX KEY: 0001768530
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40228
FILM NUMBER: 231485425
MAIL ADDRESS:
STREET 1: 305 THAYER POND ROAD
CITY: WILTON
STATE: CT
ZIP: 06897
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
2023-12-11
0001842939
Carmell Corp
CTCX
0001768530
Gregory Kathryn
C/O CARMELL CORPORATION
2403 SIDNEY STREET, SUITE 300
PITTSBURGH
PA
15203
true
false
false
false
false
Common Stock
2023-12-11
4
P
false
1087
3.5271
A
3423
I
By Carmell Insiders LLC
Common Stock
2023-12-12
4
P
false
1087
3.5016
A
4510
I
By Carmell Insiders LLC
Common Stock
2023-12-13
4
P
false
1087
5.5713
A
5597
I
By Carmell Insiders LLC
Common Stock
2021-09-23
4
J
false
0
0
A
48543
D
The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $3.52 to $3.56, 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 reported shares acquired and beneficially owned by the Reporting Person represent his/her interest in shares purchased by Carmell Insiders, LLC ("LLC"). The sole purpose of the LLC is to enable certain of the Issuer's Board of Directors to acquire shares of the Issuer's common stock in accordance with the Issuer's Insider Trading Policy (i.e., during periods of time when its members are not in possession of material nonpublic information). The five members of the LLC and their respective percentage interest in it are as follows: David Anderson (21.7%), Scott Frisch (17.4%), Kathryn Gregory (21.7%), Gilles Spenlehauer (17.4%), and Patrick Sturgeon (21.7%). The total amount invested in the LLC by these members was $115,000 as of the date of this filing. The LLC is managed by a non-member, and the members disclaim any voting or investment authority over the LLC.
The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $3.47 to $3.61, 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 consist of 48,543 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of December 13, 2023.
/s/ Kathryn Gregory
2023-12-13