Statement of Ownership (sc 13g)
30 Maggio 2023 - 11:31PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13G
Under
the Securities Exchange Act of 1934
(Amendment
No. ________)*
SHUTTLE
PHARMACEUTICALS HOLDINGS, INC.
(Name
of Issuer)
Common
Stock, $0.00001 par value per share
(Title
of Class of Securities)
825693
(CUSIP
Number)
Amir
F. Heshmatpour
17304
Preston Road, Suite 300
Dallas,
Texas 75252
(310)
721-4391
With
copies to:
Larry
Friedman
Friedman
& Feiger LLP
17304
Preston Road, Suite 300
Dallas,
Texas 75252
(Name,
Address and Telephone Number of Person
Authorized
to Receive Notices and Communications)
March
31, 2023
(Date
of Event which Requires Filing of this Statement)
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐
Rule 13d-1(b)
☒
Rule 13d-1(c)
☐
Rule 13d-1(d)
*
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to
the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a
prior cover page.
The
information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18
of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall
be subject to all other provisions of the Act (however, see the Notes).
CUSIP
No. 825693 |
|
13G |
|
Page
2 of 6 Pages
|
1. |
NAMES
OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
AFH
Holding & Advisory, LLC (EIN – 20-3429148) – Amir F. Heshmatpour |
2. |
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see
instructions)
(a)
☐
(b)
☐ |
3. |
SEC
USE ONLY
|
4. |
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware,
United States |
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH |
5. |
SOLE
VOTING POWER
909,581 |
6. |
SHARED
VOTING POWER
352,215
|
7. |
SOLE
DISPOSITIVE POWER
909,581
|
8. |
SHARED
DISPOSITIVE POWER
352,215
|
9. |
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,261,796 |
10. |
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see
instructions) ☐
|
11. |
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.14% |
CUSIP
No. 825693 |
|
13G |
|
Page
3 of 6 Pages
|
Item
1.
|
(a) |
Name
of Issuer
This
statement on Schedule 13G (this “Schedule 13G”) relates to the shares of common stock, par value $0.00001
per share (the “Shares”), of Shuttle Pharmaceutical Holding, LLC (the “Company”). |
|
|
|
|
(b) |
Address
of Issuer’s Principal Executive Offices
The
Company is a Maryland corporation with its principal executive offices located at One Research Court, Suite 450, Rockville, Maryland
20850. |
Item
2.
|
(a) |
Name
of Person Filing
AFH
Holding & Advisory, LLC |
|
|
|
|
(b) |
Address
of the Principal Office or, if none, residence
17304
Preston Road, Suite 300, Dallas, Texas 75252 |
|
|
|
|
(c) |
Citizenship
United
States |
|
|
|
|
(d) |
Title
of Class of Securities
Shares
of Common Stock |
|
|
|
|
(e) |
CUSIP
Number
825693 |
CUSIP
No. 825693 |
|
13G |
|
Page
4 of 6 Pages |
Item
3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
|
(a) |
☐ |
Broker
or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
|
|
|
|
|
(b) |
☐ |
Bank
as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
|
|
|
|
|
(c) |
☐ |
Insurance
company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
|
|
|
|
|
(d) |
☐ |
Investment
company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
|
|
|
|
|
(e) |
☐ |
An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
|
|
|
|
|
(f) |
☐ |
An
employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
|
|
|
|
|
(g) |
☐ |
A
parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); |
|
|
|
|
|
(h) |
☐ |
A
savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
|
|
|
|
(i) |
☐ |
A
church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of
1940 (15 U.S.C. 80a-3); |
|
|
|
|
|
(j) |
☐ |
Group,
in accordance with §240.13d-1(b)(1)(ii)(J). |
Item
4. Ownership.
Provide
the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
|
(a) |
Amount
beneficially owned: 1,261,796 |
|
|
|
|
(b) |
Percent
of class: 9.14% |
|
|
|
|
(c) |
Number
of shares as to which the person has: |
|
|
|
|
|
|
(i) |
Sole
power to vote or to direct the vote 909,581. |
|
|
|
|
|
|
(ii) |
Shared
power to vote or to direct the vote 352,215. |
|
|
|
|
|
|
(iii) |
Sole
power to dispose or to direct the disposition of 909,581. |
|
|
|
|
|
|
(iv) |
Shared
power to dispose or to direct the disposition of 352,215. |
Instruction.
For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).
Item
5. Ownership of Five Percent or Less of a Class.
If
this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities, check the following ☐ .
Instruction.
Dissolution of a group requires a response to this item.
CUSIP
No. 825693 |
|
13G |
|
Page
5 of 6 Pages |
Item
6. Ownership of More than Five Percent on Behalf of Another Person.
Item
7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
Item
8. Identification and Classification of Members of the Group.
|
(i) |
909,581
shares of common stock held of record by AFH Holding & Advisory, LLC, of which Mr. Amir F. Heshmatpour is the sole member and
over which he has sole voting and investment control, (ii) 234,215 shares of common stock help of record by KIG LLC of which Mr.
Heshmatpour’s spouse, Kathy Heshmatpour, exercises sole voting and investment control, and (iii) 120,000 shares held by Angelina
Heshmatpour, the minor daughter of Mr. Heshmatpour. |
Item
9. Notice of Dissolution of Group.
Item
10. Certification.
|
(a) |
The
following certification shall be included if the statement is filed pursuant to §240.13d-1(b): |
|
|
|
|
|
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held
in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any
transaction having that purpose or effect. |
|
|
|
|
(b) |
The
following certification shall be included if the statement is filed pursuant to §240.13d-1(c): |
|
|
|
|
|
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are
not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not
acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. |
CUSIP
No. 825693 |
|
13G |
|
Page
6 of 6 Pages |
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete
and correct.
|
05/30/2023 |
|
Date |
|
|
|
/s/
Amir F. Heshmatpour |
|
Signature |
|
|
|
Amir
F. Heshmatpour/President |
|
Name/Title |
Grafico Azioni Shuttle Pharmaceuticals (NASDAQ:SHPH)
Storico
Da Mag 2024 a Giu 2024
Grafico Azioni Shuttle Pharmaceuticals (NASDAQ:SHPH)
Storico
Da Giu 2023 a Giu 2024