# EDGAR Filing Document

**Accession Number:** 0001945434
**File Stem:** 0001493152-23-000319
**Filing Date:** 2023-1
**Character Count:** 7283
**Document Hash:** d82dd291645f17fa4e844bc794c12d7c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-000319.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001493152-23-000319

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221229

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Adkins William
- **CENTRAL INDEX KEY:** 0001945434

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41488
- **FILM NUMBER:** 23506441

**MAIL ADDRESS:**
- **STREET 1:** SHUTTLE PHARMACEUTICALS HOLDINGS, INC.
- **STREET 2:** ONE RESEARCH COURT, SUITE 450
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Shuttle Pharmaceuticals Holdings, Inc.
- **CENTRAL INDEX KEY:** 0001757499
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** ONE RESEARCH COURT
- **STREET 2:** SUITE 450
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850
- **BUSINESS PHONE:** 2404034212

**MAIL ADDRESS:**
- **STREET 1:** ONE RESEARCH COURT
- **STREET 2:** SUITE 450
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[x] 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>Adkins William<br><sub>(Last) (First) (Middle)</sub><br>C/O SHUTTLE PHARMACEUTICALS HOLDINGS<br>ONE RESEARCH COURT, SUITE 450<br><sub>(Street)</sub><br>ROCKVILLE, MD 20850<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-29 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[ ] Officer (give title below) [X] Other (specify below)<br>_Former Director_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Shuttle Pharmaceuticals Holdings, Inc. [ SHPH ] | **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 |
| COMMON STOCK | 2022-12-29 |  | S |  | 995<sup>(1)</sup> | D | $1.605 | 184071<sup>(2)</sup> | D |  |

---

## 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 |
| WARRANTS (right to buy)<sup>(3)</sup> | $4.00 | 2022-09-02 |  | J<sup>(3)</sup> |  | 138889 |  | 2022-09-02 | 2025-09-02 | Common Stock | 138889 | <sup>(3)</sup> | 138889 | D |  |

---

### 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.

**Remarks:**
Previously, the Reporting Person's warrant holdings had been reported in Table I of the Reporting Person's Form 3. This Form 4 has corrected the error and moved the warrant holdings to Table II. The Reporting Person ceased being a director of SHPH in December 2022 and is no longer subject to Section 16 reporting requirements.

**Signature:** /s/ William H. Adkins  
**Date:** 2023-01-04

### 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.**