Slim Group Amends ProKidney Corp. Stake Filing

TL;DR

Slim family group updated their ProKidney stake filing - watch for changes.

AI Summary

Control Empresarial de Capitales S.A. de C.V. and related individuals, including Carlos Slim Domit and Carlos Slim Helu, have filed an amendment to their Schedule 13D on June 25, 2024, regarding their beneficial ownership of ProKidney Corp. The filing indicates a change in their holdings, though specific new dollar amounts or percentages are not detailed in this excerpt.

Why It Matters

This filing signals a potential shift in the ownership structure or strategy of ProKidney Corp., which could impact its stock price and future business decisions.

Risk Assessment

Risk Level: medium — Changes in beneficial ownership filings can indicate strategic moves by significant shareholders, potentially affecting stock price and company direction.

Key Players & Entities

• Control Empresarial de Capitales S.A. de C.V. (company) — Filing entity
• Carlos Slim Domit (person) — Group member
• Carlos Slim Helu (person) — Group member
• ProKidney Corp. (company) — Subject company
• Social Capital Suvretta Holdings Corp. III (company) — Former company name of subject

FAQ

Key Financial Figures

• $0.0001 — er) Class A ordinary shares, par value $0.0001 per share (Title of Class of Securitie
• $19,999,998 — hares at an aggregate purchase price of $19,999,998.04, thereby increasing its holdings in

Filing Documents

• ef20031565_sc13da.htm (SC 13D/A) — 268KB
• 0001140361-24-031299.txt ( ) — 270KB

From the Filing

SC 13D/A 1 ef20031565_sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* ProKidney Corp. (Name of Issuer) Class A ordinary shares, par value $0.0001 per share (Title of Class of Securities) G7S53R104 (CUSIP Number) Control Empresarial de Capitales, S.A. de C.V. Paseo de las Palmas 781, 3rd Floor Lomas de Chapultepec, Seccin III 11000 Mexico City Mexico 52 55 56 25 49 56 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) With copies to: Jorge U. Juantorena, Esq. Kyle A. Harris, Esq. Cleary Gottlieb Steen & Hamilton LLP One Liberty Plaza New York, NY 10006 June 11, 2024 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. * 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. G7S53R104 SC13D Page 2 of 13 1 NAMES OF REPORTING PERSONS Carlos Slim Hel 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) Not Applicable 6 CITIZENSHIP OR PLACE OF ORGANIZATION United Mexican States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 71,560,107 Class A Ordinary Shares (1) 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 71,560,107 Class A Ordinary Shares (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 71,560,107 Class A Ordinary Shares (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.3% of the total Class A Ordinary Shares outstanding (2) 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN (1) Includes 63,118,645 Class B ordinary shares, $0.0001 par value per share (the " Class B Ordinary Shares ") of the Issuer held by Control Empresarial, each of which may, subject to the limitations set forth in the Exchange Agreement and the Second Amended and Restated Company Partnership Agreement (each as defined and as described in the Issuer's Definitive Proxy Statement filed with the SEC on June 10, 2022), be exchanged, together with the paired Common Unit in ProKidney LP (a " Common Unit "), for a Class A Ordinary Share on a one-for-one basis. Control Empresarial beneficially owns 63,118,645 Common Units. (2) Based on a total of 283,119,677 shares issued and outstanding as of June 25, 2024, comprising 115,396,124 Class A Ordinary Shares and 167,723,553 Class B Ordinary Shares, as disclosed in the Issuer's prospectus supplement filed with the SEC on June 13, 2024. CUSIP No. G7S53R104 SC13D Page 3 of 13 1 NAMES OF REPORTING PERSONS Carlos Slim Domit 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS (SEE INSTRUCTIONS) WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) 6 CITIZENSHIP OR PLACE OF ORGANIZATION United Mexican States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 71,560,107 Class A Ordinary Shares (1) 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 71,560,107 Class A Ordinary Shares (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 71,560,107 Class A Ordinary Shares (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.3% of the total Class A Ordinary Shares outstanding (2) 14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN (1) Includes 63,118,645 Class B Ordinary Shares of the Issuer held by Control Empresarial, each of which may, subject to the limitations set forth in the Exchange Agreement and the Second Amended and Restated Company Partnership Agreement (each as defined and as described in the Issuer's Definitive Proxy Statement filed with the SEC on June 10, 2022), be exchanged, together with the paired Common Unit, for a Class A Ordinary Share o

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View this SC 13D/A filing on SEC EDGAR