# EDGAR Filing Document

**Accession Number:** 0001850270
**File Stem:** 0001140361-26-018234
**Filing Date:** 2026-4
**Character Count:** 11933
**Document Hash:** 4e50419821bbbfb6be9a2b4918d66f2c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-26-018234.hdr.sgml**: 20260430

**ACCESSION NUMBER**: 0001140361-26-018234

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20260428

**FILED AS OF DATE**: 20260430

**DATE AS OF CHANGE**: 20260430

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Control Empresarial de Capitales S.A. de C.V.
- **CENTRAL INDEX KEY:** 0001273693

**ORGANIZATION NAME:**
- **STATE OF INCORPORATION:** O5
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40560
- **FILM NUMBER:** 26925450

**BUSINESS ADDRESS:**
- **STREET 1:** INSURGENTES SUR #3500, PB
- **STREET 2:** COL. PENA POBRE, DELEGACION TLALPAN, CP
- **CITY:** MEXICO DF
- **STATE:** O5
- **ZIP:** 14060
- **BUSINESS PHONE:** 525556254961

**MAIL ADDRESS:**
- **STREET 1:** INSURGENTES SUR #3500, PB
- **STREET 2:** COL. PENA POBRE, DELEGACION TLALPAN, CP
- **CITY:** MEXICO DF
- **STATE:** O5
- **ZIP:** 14060

**FORMER NAME:**
- **FORMER CONFORMED NAME:** Inversora Carso, S.A. de C.V.
- **DATE OF NAME CHANGE:** 20170801

**FORMER NAME:**
- **FORMER CONFORMED NAME:** INMOBILIARIA CARSO S A DE C V
- **DATE OF NAME CHANGE:** 20031217
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PROKIDNEY CORP.
- **CENTRAL INDEX KEY:** 0001850270
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 981586514
- **STATE OF INCORPORATION:** E9
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 2000 FRONTIS PLAZA BLVD.
- **STREET 2:** SUITE 250
- **CITY:** WINSTON-SALEM
- **STATE:** NC
- **ZIP:** 27103
- **BUSINESS PHONE:** 336-999-7028

**MAIL ADDRESS:**
- **STREET 1:** 2000 FRONTIS PLAZA BLVD.
- **STREET 2:** SUITE 250
- **CITY:** WINSTON-SALEM
- **STATE:** NC
- **ZIP:** 27103

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Social Capital Suvretta Holdings Corp. III
- **DATE OF NAME CHANGE:** 20210310

## Exhibit 99.1

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#### Exhibit 99.1
<u>Name and Address of Additional Reporting Persons:</u>

Mr. Carlos Slim Helú, Mr. Carlos Slim Domit, Mr. Marco Antonio Slim Domit, Mr. Patrick Slim Domit, Ms. María Soumaya Slim Domit, Ms. Vanessa Paola Slim Domit and Ms. Johanna Monique Slim Domit (collectively, the "Slim Family"), each with the following address:

Paseo de Las Palmas #736

Colonia Lomas de Chapultepec

11000 Ciudad de México, México

<u>Explanation of Responses:</u>

*Beneficial Ownership*

As of the date of this filing, (i) Control Empresarial de Capitales S.A. de C.V. ("Control Empresarial") owns 73,842,723 shares of Class A Common Stock, $0.0001 par value per share (the "Class A Common Shares") and (ii) the Slim Family, which are beneficiaries of a Mexican trust that in turn owns all of the issued and outstanding voting equity securities of Control Empresarial, may be deemed to beneficially own indirectly the Class A Common Shares beneficially owned by Control Empresarial. The Class A Common Shares beneficially owned by Control Empresarial constitute approximately 36.0% of the 205,061,550 Class A Common Shares issued and outstanding, which is the sum of (i) 141,942,905 shares of Class A Common Stock outstanding as of March 17, 2026, as disclosed in the Issuer's Annual Report on Form 10-K filed with the SEC on March 18, 2026 and (ii) 63,118,645 shares of Class A Common Stock issued by the Issuer to Control Empresarial upon exchange of the Paired Interests (as defined above) held by Control Empresarial on the Transaction Date (as defined above). As a result, the Slim Family may also be deemed to beneficially own approximately 36.0% of the 205,061,550 Class A Common Shares issued and outstanding, which is the sum of (i) 141,942,905 shares of Class A Common Stock outstanding as of March 17, 2026, as disclosed in the Issuer's Annual Report on Form 10-K filed with the SEC on March 18, 2026 and (ii) 63,118,645 shares of Class A Common Stock issued by the Issuer to Control Empresarial upon exchange of the Paired Interests (as defined above) held by Control Empresarial on the Transaction Date (as defined above).

------

#### Signature Page

#### <br>

---

| | | |
|:---|:---|:---|
| Carlos Slim Helú |  |  |
| Carlos Slim Domit | By: <br>| /s/ Victor Manuel Gutierrez Lopez |
|  |  | Victor Manuel Gutierrez Lopez |
| Marco Antonio Slim Domit |  | *Attorney-in-Fact*\* |
|  |  | April 30, 2026 |
| Patrick Slim Domit |  |  |
| María Soumaya Slim Domit |  |  |
| Vanessa Paola Slim Domit |  |  |
| Johanna Monique Slim Domit |  |  |
| CONTROL EMPRESARIAL DE CAPITALES S.A. DE C.V. |  |  |
| By: Víctor Manuel Gutierrez Lopez<br> Title: Attorney-in-Fact |  |  |

---

*\* See* the Powers of Attorney for the members of the Slim Family and Control Empresarial, which are filed as exhibits to the Schedule 13D/A filed by the Slim Family and Control Empresarial with the SEC on March 4, 2026 in connection with their beneficial ownership of shares of Class A Common Stock, $0.001 par value per share of PBF Energy Inc., are hereby incorporated herein by reference.

------

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Control Empresarial de Capitales S.A. de C.V.<br><sub>(Last) (First) (Middle)</sub><br>PASEO DE LAS PALMAS 781, PISO 6<br>LOMAS DE CHAPULTEPEC<br><sub>(Street)</sub><br>CIUDAD DE MEXICO, MEXICO 11000<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2026-04-28 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_Add'l Rep. Persons-see Ex.99-1_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>PROKIDNEY CORP. [ PROK ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Shares (as defined in Exhibit 99.1 hereto) | 2026-04-28 |  | C<sup>(1)</sup> |  | 63118645 | A | $0 | 73842723<sup>(2)</sup> | D<sup>(6)</sup> |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Class B Common Shares | <sup>(3)</sup> | 2026-04-28 |  | C<sup>(1)</sup> |  |  | 63118645 | <sup>(4)</sup> | <sup>(4)</sup> | Class A Common Shares | 63118645 | $0 | 0 | D<sup>(6)</sup> |  |
| Common Units in ProKidney LLC | <sup>(3)</sup> | 2026-04-28 |  | C<sup>(1)</sup> |  |  | 63118645 | <sup>(5)</sup> | <sup>(5)</sup> | Class A Common Shares | 63118645 | $0 | 0 | D<sup>(6)</sup> |  |

---

### Footnotes:

(1) Prior to April 28, 2026 (the "Transaction Date"), the reporting persons beneficially owned 63,118,645 Class B Common Shares, $0.0001 par value per share (the "Class B Common Shares") of ProKidney Corp. (the "Issuer"), each of which may, subject to the limitations set forth in the Amended and Restated Exchange Agreement (the "Exchange Agreement") and the Second Amended and Restated Limited Liability Company Agreement of ProKidney Holdings, be exchanged, together with the paired common unit (a "Common Unit," and together with the Class B Common Shares, the "Paired Interests") in  ProKidney Holdings, LLC ( "ProKidney LLC"), for a Class A Common Share on a one-for-one basis. Prior to the Transaction Date, the reporting person owned 63,118,645 Paired Interests. On the Transaction Date, the reporting person exchanged 63,118,645 Paired Interests for 63,118,645 Class A Common Shares.

(2) The Form 4 filed by the reporting person on March 16, 2024 and prior to the date hereof inadvertently aggregated 63,118,645 Paired Interests in Table I.

(3) At the election of the reporting person and subject to the limitations set forth in the Exchange Agreement, each Class B Common Share, together with a paired Common Unit, may be exchanged for a Class A Common Share on a one-for-one basis.

(4) The Class B Common Shares were received pursuant to the terms of the Business Combination Agreement by and between the Issuer (formerly known as Social Capital Suvretta Holdings Corp. III) and ProKidney LP, dated as of January 18, 2022 (the "Business Combination Agreement"), in exchange for historical interests held by the reporting person in ProKidney LP. The Class B Common Shares do not expire.

(5) The Common Units were received pursuant to the terms of the Business Combination Agreement in exchange for historical interests held by the reporting person in ProKidney LP. The Common Units do not expire.

(6) See attached Exhibit 99.1 to this Form 4, which is hereby incorporated herein by reference.

**Signature:** /s/ Victor Manuel Gutierrez Lopez, Attorney-in-Fact  
**Date:** 2026-04-30

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**