Filing Details

Accession Number:
0001493152-23-000319
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-01-04 16:10:42
Reporting Period:
2022-12-29
Accepted Time:
2023-01-04 16:10:42
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1757499 Shuttle Pharmaceuticals Holdings Inc. SHPH Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1945434 William Adkins C/O Shuttle Pharmaceuticals Holdings
One Research Court, Suite 450
Rockville MD 20850
No No No Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2022-12-29 995 $1.61 184,071 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock WARRANTS (right to buy) Acquisiton 2022-09-02 138,889 $0.00 138,889 $4.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
138,889 2022-09-02 2025-09-02 No 4 J Direct
Footnotes
  1. 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.
  2. 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").
  3. 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.