Robert Mittendorff - Jul 22, 2025 Form 3 Insider Report for CARLSMED, INC. (CARL)

Role
Director
Signature
/s/ Leonard Greenstein, as attorney-in-fact for Robert Mittendorff
Stock symbol
CARL
Transactions as of
Jul 22, 2025
Transactions value $
$0
Form type
3
Date filed
7/22/2025, 05:29 PM
Next filing
Jul 24, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Mittendorff Robert II Director C/O CARLSMED, INC., 1800 ASTON AVE., SUITE 100, CARLSBAD /s/ Leonard Greenstein, as attorney-in-fact for Robert Mittendorff 2025-07-22 0001476171

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding CARL Series B Preferred Stock Jul 22, 2025 Common Stock 1.45M See footnotes F1, F4, F5
holding CARL Series C Preferred Stock Jul 22, 2025 Common Stock 2.24M See Footnotes F1, F4, F5
holding CARL Series B Preferred Stock Jul 22, 2025 Common Stock 1.45M See Footnotes F2, F4, F5
holding CARL Series C Preferred Stock Jul 22, 2025 Common Stock 931K See Footnotes F2, F4, F5
holding CARL Series C Preferred Stock Jul 22, 2025 Common Stock 931K See Footnotes F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Stock held by B Capital Global Growth III, L.P.
F2 Stock held by B Capital Healthcare I, L.P.
F3 Stock held by Hornet Co-Invest, L.P.
F4 B Capital Group Management, LP is the manager of B Capital Global Growth III and B Capital Healthcare I. Hornet-Co-Invest Investors, Ltd. is the ultimate general partner of Hornet Co-Invest (Hornet Co-Invest, L.P., together with B Capital Healthcare I, L.P., and B Capital Global Growth III, L.P., "B Capital"). The Reporting Person is a general partner of B Capital Group Management, LP. The Reporting Person disclaims beneficial ownership of such stock, except to the extent of any pecuniary interest therein.
F5 These shares of preferred stock are reported after giving effect to the 1-for-5.58 reverse split of the Issuer's common and preferred stock effected on July 10, 2025 (the "Reverse Split"). Each share of Series A Preferred Stock, Series B Preferred Stock, and Series C Preferred Stock is convertible into one share of the Issuer's common stock immediately prior to the closing of the Issuer's initial public offering. These shares are reported in Table II above on an as-converted 1-to-1 basis and have no expiration date.