XAGE

SEC source: 0001062993-23-015056 · form4.xml · derivative · entry 4

Upton Richard A · CIK 0001375726 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Carmell Series of Harbor Light Direct Investment, LLC

Disclosed balance after: 895

Underlying: Common Stock · 895 shares

Expires 2024-09-30

F5 · kind: 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.

F5 · price: 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.

F4 · derivative.exercise_date: These warrants are currently exercisable.

F1 · ownership.nature: 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.

SEC source: 0001062993-23-015056 · form4.xml · derivative · entry 3

Upton Richard A · CIK 0001375726 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,878

Underlying: Common Stock · 76,878 shares

Expires 2031-09-23

F3 · price: 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.

F2 · derivative.exercise_date: 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.

SEC source: 0001062993-23-015062 · form4.xml · derivative · entry 3

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,563

Underlying: Common Stock · 61,563 shares

Expires 2031-09-23

F4 · price: 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.

F3 · derivative.exercise_date: Options to purchase 61,563 shares of common stock of Legacy Carmell granted on September 23, 2021, which vest as follows: 25% vested on September 23, 2023 and the remaining 75% becomes vested in 36 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001062993-23-015062 · form4.xml · derivative · entry 2

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,154

Underlying: Common Stock · 6,154 shares

Expires 2031-02-10

F4 · price: 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.

F2 · derivative.exercise_date: Options to purchase 6,154 shares of common stock of Legacy Carmell granted on February 10, 2021, which vest as follows: 25% vested on February 10, 2022 and February 10, 2023 and the remaining 50% becomes vested in 24 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001062993-23-015062 · form4.xml · derivative · entry 1

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,161

Underlying: Common Stock · 9,161 shares

Expires 2030-07-17

F4 · price: 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.

F1 · derivative.exercise_date: Options to purchase 9,161 shares of common stock of Legacy Carmell (as defined below) granted on July 17, 2020, which vest as follows: 25% vested on July 17, 2021, July 17, 2022 and July 17, 2023 and the remaining 25% becomes vested in 12 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001062993-23-015048 · form4.xml · derivative · entry 1

Bariahtaris Steven · CIK 0001822217 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,878

Underlying: Common Stock · 76,878 shares

Expires 2031-09-23

F2 · price: 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.

F1 · derivative.exercise_date: Options to purchase 76878 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.

SEC source: 0001062993-23-015064 · form4.xml · derivative · entry 1

Garza Jaime · CIK 0001984126 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,878

Underlying: Common Stock · 76,878 shares

Expires 2031-09-23

F2 · price: 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.

F1 · derivative.exercise_date: 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.

SEC source: 0001062993-23-015060 · form4.xml · derivative · entry 6

Godward Donna · CIK 0001984167 · Chief Quality Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,309

Underlying: Common Stock · 12,309 shares

Expires 2032-12-15

F7 · price: 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.

F6 · derivative.exercise_date: Options to purchase 12,309 shares of common stock of Legacy Carmell granted on December 15, 2022, which vest as follows: 25% vesting on December 22, 2023 and the remaining 75% becomes vested in 36 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001062993-23-015060 · form4.xml · derivative · entry 5

Godward Donna · CIK 0001984167 · Chief Quality Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,309

Underlying: Common Stock · 12,309 shares

Expires 2032-07-13

F7 · price: 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.

F5 · derivative.exercise_date: Options to purchase 12,309 shares of common stock of Legacy Carmell granted on July 13, 2023 and the remaining 75% becomes vested in 36 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001062993-23-015060 · form4.xml · derivative · entry 4

Godward Donna · CIK 0001984167 · Chief Quality Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,098

Underlying: Common Stock · 119,098 shares

Expires 2031-09-23

F7 · price: 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 · derivative.exercise_date: Options to purchase 119,098 shares of common stock of Legacy Carmell 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.

SEC source: 0001062993-23-015060 · form4.xml · derivative · entry 3

Godward Donna · CIK 0001984167 · Chief Quality Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,318

Underlying: Common Stock · 5,318 shares

Expires 2029-07-19

F7 · price: 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.

F3 · derivative.exercise_date: Options to purchase 5,318 shares of common stock of Legacy Carmell granted on July 19, 2019, which vest as follows: 25% vested on July 19, 2020, July 19, 2021 and July 19, 2022 and the remaining 25% becomes vested on July 19, 2023.

SEC source: 0001062993-23-015060 · form4.xml · derivative · entry 2

Godward Donna · CIK 0001984167 · Chief Quality Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,090

Underlying: Common Stock · 2,090 shares

Expires 2027-06-20

F7 · price: 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.

F2 · derivative.exercise_date: Options are fully vested and exercisable.

SEC source: 0001062993-23-015060 · form4.xml · nonDerivative · entry 1

Godward Donna · CIK 0001984167 · Chief Quality Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,296

F1 · price: 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 share of common stock of Legacy Carmell was exchanged for 0.06154 shares of common stock of Carmell Therapeutics Corporation.

SEC source: 0001062993-23-015054 · form4.xml · derivative · entry 7

Hart James C · CIK 0001984335 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,309

Underlying: Common Stock · 12,309 shares

Expires 2032-12-15

F8 · price: 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.

F7 · derivative.exercise_date: Options to purchase 12,309 shares of common stock of Legacy Carmell granted on December 15, 2022, which vest as follows: 25% vested on December 15, 2023 and the remaining 75% becomes vested in 36 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001062993-23-015054 · form4.xml · derivative · entry 6

Hart James C · CIK 0001984335 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,309

Underlying: Common Stock · 12,309 shares

Expires 2032-07-13

F8 · price: 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.

F6 · derivative.exercise_date: Options to purchase 12,309 shares of common stock of Legacy Carmell granted on July 13, 2022, which vest as follows: 25% vested on July 13, 2023 and the remaining 75% becomes vested in 36 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001062993-23-015054 · form4.xml · derivative · entry 5

Hart James C · CIK 0001984335 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,937

Underlying: Common Stock · 109,937 shares

Expires 2031-09-23

F8 · price: 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.

F5 · derivative.exercise_date: Options to purchase 109,937 shares of common stock of Legacy Carmell 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.

SEC source: 0001062993-23-015054 · form4.xml · derivative · entry 4

Hart James C · CIK 0001984335 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,161

Underlying: Common Stock · 9,161 shares

Expires 2030-07-17

F8 · price: 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 · derivative.exercise_date: Options to purchase 9,161 shares of common stock of Legacy Carmell granted on July 17, 2020, which vest as follows: 25% vested on July 17, 2021, July 17, 2022 and July 17, 2023 and the remaining 25% becomes vested in 12 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001062993-23-015054 · form4.xml · derivative · entry 3

Hart James C · CIK 0001984335 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,318

Underlying: Common Stock · 5,318 shares

Expires 2029-07-19

F8 · price: 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.

F3 · derivative.exercise_date: Options to purchase 5,318 shares of common stock of Legacy Carmell granted on July 19, 2019, which vest as follows: 25% vested on July 19, 2020, July 19, 2021 and July 19, 2022 and the remaining 25% will vest on July 19, 2023.

SEC source: 0001062993-23-015054 · form4.xml · derivative · entry 2

Hart James C · CIK 0001984335 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,080

Underlying: Common Stock · 2,080 shares

Expires 2027-06-20

F8 · price: 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.

F2 · derivative.exercise_date: Options are fully vested and exercisable.

SEC source: 0001062993-23-015054 · form4.xml · nonDerivative · entry 1

Hart James C · CIK 0001984335 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,307

F1 · price: 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 share of common stock of Legacy Carmell was exchanged for 0.06154 shares of common stock of Carmell Therapeutics Corporation.

SEC source: 0001062993-23-015052 · form4.xml · derivative · entry 3

Hubbell Randolph W · CIK 0001984207 · Director · CEO & President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 480,110

Underlying: Common Stock · 480,110 shares

Expires 2031-09-23

F4 · price: 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.

F3 · derivative.exercise_date: Options to purchase 480,110 shares of common stock of Legacy Carmell 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.

SEC source: 0001062993-23-015052 · form4.xml · derivative · entry 2

Hubbell Randolph W · CIK 0001984207 · Director · CEO & President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,642

Underlying: Common Stock · 37,642 shares

Expires 2029-07-19

F4 · price: 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.

F2 · derivative.exercise_date: Options to purchase 37,642 shares of common stock of Legacy Carmell (as defined below) granted on July 19, 2019, which vest as follows: 25% vested on July 19, 2020, July 19, 2021 and July 19, 2022. The remaining 25% will vest and become exercisable on July 19, 2023.

SEC source: 0001062993-23-015052 · form4.xml · derivative · entry 1

Hubbell Randolph W · CIK 0001984207 · Director · CEO & President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,175

Underlying: Common Stock · 217,175 shares

Expires 2027-06-20

F4 · price: 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.

F1 · derivative.exercise_date: Options are fully vested and exercisable.

SEC source: 0001062993-23-015046 · form4.xml · derivative · entry 5

Vargo Janet · CIK 0001984127 · VP Clinical Services

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,309

Underlying: Common Stock · 12,309 shares

Expires 2032-12-15

F5 · price: 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 · derivative.exercise_date: Options to purchase 12,309 shares of Common Stock granted on December 15, 2022, which vest as follows: (i) 25% will vest on December 15, 2023 and the remaining 75% will vest in 36 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001062993-23-015046 · form4.xml · derivative · entry 4

Vargo Janet · CIK 0001984127 · VP Clinical Services

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,098

Underlying: Common Stock · 119,098 shares

Expires 2031-09-23

F5 · price: 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.

F3 · derivative.exercise_date: Options to purchase 119,098 shares of Common Stock granted on September 23, 2021, which vest as follows: (i) 25% vested on September 23, 2022 and the remaining 75% will vest in 36 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001062993-23-015046 · form4.xml · derivative · entry 3

Vargo Janet · CIK 0001984127 · VP Clinical Services

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,629

Underlying: Common Stock · 16,629 shares

Expires 2029-07-19

F5 · price: 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.

F2 · derivative.exercise_date: Options are fully vested and exercisable.

SEC source: 0001062993-23-015046 · form4.xml · derivative · entry 2

Vargo Janet · CIK 0001984127 · VP Clinical Services

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,045

Underlying: Common Stock · 1,045 shares

Expires 2027-06-20

F5 · price: 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.

F2 · derivative.exercise_date: Options are fully vested and exercisable.

SEC source: 0001062993-23-015046 · form4.xml · nonDerivative · entry 1

Vargo Janet · CIK 0001984127 · VP Clinical Services

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,030

F1 · price: 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 share of common stock of Legacy Carmell was exchanged for 0.06154 shares of common stock of Carmell Therapeutics Corporation.

SEC source: 0000950170-24-002269 · ownership.xml · nonDerivative · entry 1

Shukla Rajiv · CIK 0001709033 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,526

F1 · price: The indicated shares were issued to the Reporting Person pursuant to the Executive Employment Agreement between the Issuer and the Reporting Person dated December 29, 2023. Such agreement was included in the Issuer's Form 8-K filed on January 5, 2024.

SEC source: 0000950170-23-070165 · ownership.xml · nonDerivative · entry 4

Anderson David W · CIK 0001304554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,472

F4 · balance_after: The shares beneficially owned by the Reporting Person consist of 63,472 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of December 13, 2023.

SEC source: 0000950170-23-070174 · ownership.xml · nonDerivative · entry 3

Upton Richard A · CIK 0001375726 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,845

F2 · balance_after: The shares beneficially owned by the Reporting Person include 44,845 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of December 13, 2023.

SEC source: 0000950170-23-070166 · ownership.xml · nonDerivative · entry 4

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,543

F4 · balance_after: 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.

SEC source: 0000950170-23-071162 · ownership.xml · nonDerivative · entry 3

Anderson David W · CIK 0001304554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,472

F4 · kind: The shares beneficially owned by the Reporting Person include 63,472 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of December 18, 2023.

F4 · balance_after: The shares beneficially owned by the Reporting Person include 63,472 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of December 18, 2023.

SEC source: 0000950170-23-071163 · ownership.xml · nonDerivative · entry 3

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,385

F4 · kind: The shares beneficially owned by the Reporting Person include 48,734 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of December 18, 2023.

F4 · balance_after: The shares beneficially owned by the Reporting Person include 48,734 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of December 18, 2023.

SEC source: 0000950170-24-073349 · ownership.xml · nonDerivative · entry 2

Upton Richard A · CIK 0001375726 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,445

F2 · balance_after: The shares beneficially owned by the Reporting Person include 54,455 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of June 12, 2024.

SEC source: 0001213900-21-042018 · ownership.xml · nonDerivative · entry 1

AHAC Sponsor III LLC · CIK 0001842917 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 463,882

F1 · kind: Consists of 8,882 units purchased by AHAC Sponsor III LLC (the "Sponsor") for $10.00 per unit in a private placement transaction with the registrant, pursuant to the partial over-allotment exercise of the underwriters. Each such unit consists of one share of Class A common stock and one fourth of one redeemable warrant. Each whole warrant entitles the holder thereof to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment.

F2 · ownership.direct: The Sponsor is the record holder of the shares reported herein. Rajiv Shukla, the issuer's Chief Executive Officer, is the managing member of the Sponsor and may be deemed the beneficial owner of the shares held by the Sponsor. Mr. Shukla disclaims beneficial ownership over any securities in which he does not have a pecuniary interest.

SEC source: 0001213900-21-039980 · ownership.xml · nonDerivative · entry 1

AHAC Sponsor III LLC · CIK 0001842917 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,000

F1 · kind: Consists of 455,000 units purchased by AHAC Sponsor III LLC (the "Sponsor") for $10.00 per unit in a private placement transaction with the registrant. Each such unit consists of one share of Class A common stock and one fourth of one redeemable warrant. Each whole warrant entitles the holder thereof to purchase one share of Class A common stock at a price of $11.50 per share, subject to adjustment.

F2 · ownership.direct: The Sponsor is the record holder of the shares reported herein. Rajiv Shukla, the issuer's Chief Executive Officer, is the managing member of the Sponsor and may be deemed the beneficial owner of the shares held by the Sponsor. Mr. Shukla disclaims beneficial ownership over any securities in which he does not have a pecuniary interest.

SEC source: 0000950170-23-065682 · ownership.xml · nonDerivative · entry 4

Shukla Rajiv · CIK 0001709033 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By AHAC Sponsor III LLC

Disclosed balance after: 4,249,908

F3 · kind: 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.

F3 · ownership.nature: 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.

SEC source: 0000950170-23-066517 · ownership.xml · nonDerivative · entry 4

Shukla Rajiv · CIK 0001709033 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By AHAC Sponsor III LLC

Disclosed balance after: 4,249,908

F4 · kind: 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.

F4 · balance_after: 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.

F4 · ownership.nature: 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.

SEC source: 0000950170-23-067903 · ownership.xml · nonDerivative · entry 5

Shukla Rajiv · CIK 0001709033 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By AHAC Sponsor III LLC

Disclosed balance after: 4,249,908

F4 · kind: 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.

F4 · ownership.direct: 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.

F4 · ownership.nature: 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.

SEC source: 0000950170-24-002269 · ownership.xml · nonDerivative · entry 2

Shukla Rajiv · CIK 0001709033 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By AHAC Sponsor III LLC

Disclosed balance after: 4,249,908

F2 · kind: 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.

F2 · ownership.nature: 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.

SEC source: 0000950170-24-063592 · ownership.xml · nonDerivative · entry 4

Shukla Rajiv · CIK 0001709033 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By AHAC Sponsor III LLC

Disclosed balance after: 4,249,908

F4 · kind: 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.

F4 · balance_after: 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.

F4 · ownership.direct: 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.

SEC source: 0000950170-24-063586 · ownership.xml · nonDerivative · entry 2

Shukla Rajiv · CIK 0001709033 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By AHAC Sponsor III LLC

Disclosed balance after: 4,249,908

F1 · kind: 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.

F1 · balance_after: 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.

F1 · ownership.direct: 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.

SEC source: 0000950170-24-065344 · ownership.xml · nonDerivative · entry 3

Shukla Rajiv · CIK 0001709033 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By AHAC Sponsor III LLC

Disclosed balance after: 4,249,908

F3 · kind: 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.

F3 · balance_after: 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.

F3 · ownership.direct: 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.

SEC source: 0000950170-24-071092 · ownership.xml · nonDerivative · entry 4

Shukla Rajiv · CIK 0001709033 · Director · Chairman and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By AHAC Sponsor III LLC

Disclosed balance after: 4,249,908

F3 · kind: 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.

F3 · balance_after: 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.

F3 · ownership.direct: 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.