Filing Details

Accession Number:
0001209191-20-021160
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-03-25 17:28:54
Reporting Period:
2020-03-23
Accepted Time:
2020-03-25 17:28:54
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 40 West 57Th St, 28Th Fl
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 Disposition 2020-03-24 117,400 $2.20 1,896,176 No 4 S Direct
Common Stock Disposition 2020-03-24 84,286 $2.19 856,304 No 4 S Indirect By corporation
Common Stock Disposition 2020-03-23 50,358 $2.17 940,590 No 4 S Indirect By corporation
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Indirect By corporation
No 4 S Indirect By corporation
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.20 to $2.25, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
  2. 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.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.19 to $2.21, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
  4. 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.
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.16 to $2.19, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.