Gregory Kathryn

SEC source: 0000950170-24-124216 · ownership.xml · derivative · entry 2

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,878

Underlying: Common Stock · 76,878 shares

Expires 2034-10-11

F1 · derivative.exercise_date: Stock options vest as follows: 25% on the one-year anniversary of grant date, with the remaining 75% in 36 equal monthly installments thereafter, subject to continued service through each vesting date.

SEC source: 0000950170-24-105169 · ownership.xml · nonDerivative · entry 1

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 22,500

F1 · ownership.nature: 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 (19.1%), Scott Frisch (15.3%), Kathryn Gregory (26.4%), Gilles Spenlehauer (15.3%), and Patrick Sturgeon (23.9%). The total amount invested in the LLC by these members was $130,750 as of the date of his filing. The LLC is managed by a non-member, and the members disclaim any voting or investment authority over the LLC.

SEC source: 0000950170-24-103547 · ownership.xml · nonDerivative · entry 1

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 21,240

F1 · ownership.nature: 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 (19.1%), Scott Frisch (15.3%), Kathryn Gregory (26.4%), Gilles Spenlehauer (15.3%), and Patrick Sturgeon (23.9%). The total amount invested in the LLC by these members was $130,750 as of the date of his filing. The LLC is managed by a non-member, and the members disclaim any voting or investment authority over the LLC.

SEC source: 0000950170-24-102373 · ownership.xml · nonDerivative · entry 2

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 21,131

F1 · ownership.nature: 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 (19.1%), Scott Frisch (15.3%), Kathryn Gregory (26.4%), Gilles Spenlehauer (15.3%), and Patrick Sturgeon (23.9%). The total amount invested in the LLC by these members was $130,750 as of the date of his filing. The LLC is managed by a non-member, and the members disclaim any voting or investment authority over the LLC.

SEC source: 0000950170-24-102373 · ownership.xml · nonDerivative · entry 1

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 20,479

F1 · ownership.nature: 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 (19.1%), Scott Frisch (15.3%), Kathryn Gregory (26.4%), Gilles Spenlehauer (15.3%), and Patrick Sturgeon (23.9%). The total amount invested in the LLC by these members was $130,750 as of the date of his filing. The LLC is managed by a non-member, and the members disclaim any voting or investment authority over the LLC.

SEC source: 0000950170-24-101949 · ownership.xml · nonDerivative · entry 1

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 19,395

F1 · ownership.nature: 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 (19.1%), Scott Frisch (15.3%), Kathryn Gregory (26.4%), Gilles Spenlehauer (15.3%), and Patrick Sturgeon (23.9%). The total amount invested in the LLC by these members was $130,750 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.

SEC source: 0000950170-24-100723 · ownership.xml · nonDerivative · entry 2

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 16,981

F1 · ownership.nature: 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 (19.1%), Scott Frisch (15.3%), Kathryn Gregory (26.4%), Gilles Spenlehauer (15.3%), and Patrick Sturgeon (23.9%). The total amount invested in the LLC by these members was $130,750 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.

SEC source: 0000950170-24-100723 · ownership.xml · nonDerivative · entry 1

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 14,568

F1 · ownership.nature: 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 (19.1%), Scott Frisch (15.3%), Kathryn Gregory (26.4%), Gilles Spenlehauer (15.3%), and Patrick Sturgeon (23.9%). The total amount invested in the LLC by these members was $130,750 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.

SEC source: 0000950170-24-100251 · ownership.xml · nonDerivative · entry 2

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 12,156

F1 · ownership.nature: 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 (19.1%), Scott Frisch (15.3%), Kathryn Gregory (26.4%), Gilles Spenlehauer (15.3%), and Patrick Sturgeon (23.9%). The total amount invested in the LLC by these members was $130,750 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.

SEC source: 0000950170-24-100251 · ownership.xml · nonDerivative · entry 1

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 9,743

F1 · ownership.nature: 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 (19.1%), Scott Frisch (15.3%), Kathryn Gregory (26.4%), Gilles Spenlehauer (15.3%), and Patrick Sturgeon (23.9%). The total amount invested in the LLC by these members was $130,750 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.

SEC source: 0000950170-23-071163 · ownership.xml · nonDerivative · entry 2

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 6,727

F3 · price: The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $3.93 to $3.97, 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.

F2 · ownership.nature: 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.

SEC source: 0000950170-23-071163 · ownership.xml · nonDerivative · entry 1

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 5,988

F1 · price: The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $3.40 to $3.82, 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.

F2 · ownership.nature: 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.

SEC source: 0000950170-23-070166 · ownership.xml · nonDerivative · entry 3

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 5,597

F3 · price: 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.

F2 · ownership.nature: 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.

SEC source: 0000950170-23-070166 · ownership.xml · nonDerivative · entry 2

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 4,510

F2 · ownership.nature: 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.

SEC source: 0000950170-23-070166 · ownership.xml · nonDerivative · entry 1

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 3,423

F1 · price: 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.

F2 · ownership.nature: 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.

SEC source: 0000950170-23-069161 · ownership.xml · nonDerivative · entry 6

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,415

F4 · balance_after: The shares beneficially owned by the Reporting Person include 48,415 shares of common stock that may be acquired pursuant to the exercise of stock options within 60 days of December 8, 2023.

SEC source: 0000950170-23-069161 · ownership.xml · nonDerivative · entry 5

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 2,336

F1 · ownership.nature: 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.

SEC source: 0000950170-23-069161 · ownership.xml · nonDerivative · entry 4

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 2,290

F3 · price: The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $3.01 to $3.14, 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.

F1 · ownership.nature: 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.

SEC source: 0000950170-23-069161 · ownership.xml · nonDerivative · entry 3

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 2,042

F2 · price: The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $2.99 to $3.054, 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.

F1 · ownership.nature: 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.

SEC source: 0000950170-23-069161 · ownership.xml · nonDerivative · entry 2

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 1,434

F1 · ownership.nature: 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.

SEC source: 0000950170-23-069161 · ownership.xml · nonDerivative · entry 1

Gregory Kathryn · CIK 0001768530 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Carmell Insiders LLC

Disclosed balance after: 1,087

F1 · ownership.nature: 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.

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: 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: 0000950170-23-071163 · 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: 0000899243-20-002804 · doc4.xml · derivative · entry 1

Gregory Kathryn · CIK 0001768530 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,000

Underlying: Common Stock · 185,000 shares

Expires 2030-01-30

F1 · derivative.exercise_date: This option was granted on January 31, 2020. The shares underlying the option are scheduled to vest in equal monthly installments over four years from January 31, 2020.

SEC source: 0000899243-19-021791 · doc4.xml · nonDerivative · entry 1

Gregory Kathryn · CIK 0001768530 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

SEC source: 0000899243-19-010811 · doc4.xml · derivative · entry 1

Gregory Kathryn · CIK 0001768530 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-04-14

F1 · derivative.exercise_date: This option was granted on April 15, 2019. The shares underlying the option are scheduled to vest in equal monthly installments over four years from April 15, 2019.

SEC source: 0000899243-19-004732 · doc4.xml · derivative · entry 1

Gregory Kathryn · CIK 0001768530 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-02-24

F1 · derivative.exercise_date: This option was granted on February 25, 2019. The shares underlying the option are scheduled to vest as to 25% of the shares on February 25, 2020 and thereafter in equal monthly installments through February 25, 2023.