4//SEC Filing
Upton Richard A 4
Accession 0001062993-23-015056
CIK 0001842939other
Filed
Jul 17, 8:00 PM ET
Accepted
Jul 18, 8:36 PM ET
Size
12.8 KB
Accession
0001062993-23-015056
Insider Transaction Report
Form 4
Upton Richard A
Director
Transactions
- Other
Common Stock Warrants
2023-07-14+895→ 895 total(indirect: By LLC)Exercise: $6.71Exp: 2024-09-30→ Common Stock (895 underlying) - Other
Common Stock Warrants
2023-07-14+69→ 69 total(indirect: Harbor Light Direct Investment, LP)Exercise: $6.71Exp: 2032-09-30→ Common Stock (69 underlying) - Award
Stock Option (right to buy)
2023-07-14+76,878→ 76,878 totalExercise: $2.11Exp: 2031-09-23→ Common Stock (76,878 underlying)
Holdings
- 1,230,484(indirect: By LLC)
Common Stock
- 108,535(indirect: Harbor Light Direct Investment, LP)
Common Stock
Footnotes (5)
- [F1]Mr. Upton is General Partner at Harbor Light Capital Partners, which is affiliated with the entities listed above. By virtue of this relationship, Mr. Upton may be deemed to share beneficial ownership of the securities held of record by the entities listed above. Mr. Upton disclaims any such beneficial ownership except to the extent of his pecuniary interest.
- [F2]Options to purchase 76,878 shares of common stock of Legacy Carmell (as defined below) granted on September 23, 2021, which vest as follows: 25% vested on September 23, 2022 and the remaining 75% becomes vested in 36 equal monthly installments thereafter, subject to continued service through each vesting date.
- [F3]On July 14, 2023, Alpha Healthcare Acquisition Corp. III ("ALPA") consummated a business combination (the "Business Combination") by and among ALPA, Candy Merger Sub, Inc., a Delaware Corporation ("Merger Sub") and Carmell Regen Med Corporation, a Delaware corporation ("Legacy Carmell"), ALPA changed its name to "Carmell Therapeutics Corporation" and Merger Sub merged with and into Legacy Carmell. As part of the Business Combination, each Legacy Carmell stock option was exchanged for a stock option to acquire 0.06154 shares of common stock of Carmell Therapeutics Corporation.
- [F4]These warrants are currently exercisable.
- [F5]As part of the Business Combination, existing warrants to purchase common stock of Legacy Carmell were exchanged for 0.06154 warrants to purchase shares of common stock of Carmell Therapeutics Corporation.
Issuer
ALPHA HEALTHCARE ACQUISITION CORP III
CIK 0001842939
Entity typeother
Related Parties
1- filerCIK 0001375726
Filing Metadata
- Form type
- 4
- Filed
- Jul 17, 8:00 PM ET
- Accepted
- Jul 18, 8:36 PM ET
- Size
- 12.8 KB