Filing Details
- Accession Number:
- 0001209191-18-040738
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-07-03 14:10:19
- Reporting Period:
- 2018-06-29
- Accepted Time:
- 2018-07-03 14:10:19
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1694187 | Neon Therapeutics Inc. | NTGN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1326628 | Len Blavatnik | C/O Access Industries, Inc. 40 West 57Th Street, 28Th Floor New York NY 10019 | No | No | No | Yes | |
| 1391297 | Access Industries Holdings Llc | C/O Access Industries, Inc. 40 West 57Th Street, 28Th Floor New York NY 10019 | No | No | Yes | No | |
| 1468950 | Ltd. Industries Biotechnology Clal | 3 Azrieli Center Triangle Tower 45 Floor Tel Aviv L3 67023 | No | No | No | Yes | |
| 1508226 | Access Industries Management, Llc | C/O Access Industries, Inc. 40 West 57Th Street, 28Th Floor New York NY 10019 | No | No | No | Yes | |
| 1508227 | Access Industries, Llc | C/O Access Industries, Inc. 40 West 57Th Street, 28Th Floor New York NY 10019 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-06-29 | 999,998 | $0.00 | 999,998 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2018-06-29 | 999,998 | $0.00 | 999,998 | No | 4 | C | Indirect | By corporation |
| Common Stock | Acquisiton | 2018-06-29 | 782,917 | $0.00 | 1,782,915 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2018-06-29 | 315,000 | $16.00 | 2,097,915 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Indirect | By corporation |
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2018-06-29 | 5,000,000 | $0.00 | 999,998 | $0.00 |
| Common Stock | Series A Preferred Stock | Disposition | 2018-06-29 | 5,000,000 | $0.00 | 999,998 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-06-29 | 3,914,590 | $0.00 | 782,917 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Direct |
Footnotes
- Reflects conversion of shares of Series A Preferred Stock into shares of the Issuer's common stock, $0.001 par value per share ("Common Stock"), in connection with the closing of the Issuer's initial public offering of Common Stock on approximately a 5:1 basis exempted under Rule 16b-6(b). The Series A Preferred Stock were convertible at any time into shares of Common Stock and had no expiration date. In connection with the conversion, fractional shares of Common Stock were cash settled at a value of $16.00 per share. AIH and CBI (each as defined below) each received $32.00 for the cash settlement of an aggregate of 2 fractional shares of Common Stock.
- The securities reported are held directly by Access Industries Holdings LLC ("AIH") and may be deemed to be beneficially owned by Access Industries, LLC ("Access LLC"), Access Industries Management, LLC ("Management LLC") and Len Blavatnik, because Access LLC holds a majority of the outstanding voting interests in AIH, Management LLC controls Access LLC and AIH, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than AIH) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than AIH) is the beneficial owner of such securities for any purpose.
- The securities reported are held directly by Clal Biotechnology Industries Ltd. ("CBI"). AIH, Access LLC, Management LLC and Len Blavatnik may be deemed to beneficially own the securities held directly by CBI because Clal Industries Ltd. ("CI") is the controlling shareholder of CBI, AIH controls CI, Access LLC holds a majority of the outstanding interests in AIH, Management LLC controls Access LLC, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than CBI) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than CBI) is the beneficial owner of such securities for any purpose.
- Reflects conversion of shares of Series B Preferred Stock into shares of Common Stock in connection with the closing of the Issuer's initial public offering of Common Stock on approximately a 5:1 basis exempted under Rule 16b-6(b). The Series B Preferred Stock were convertible at any time into shares of Common Stock and had no expiration date. In connection with the conversion, fractional shares of Common Stock were cash settled at a value of $16.00 per share. AIH received $16.00 for the cash settlement of an aggregate of 1 fractional share of Common Stock.
Billionaire Hedge Funds
