4//SEC Filing
Access Industries Holdings LLC 4
Accession 0001209191-18-040738
CIK 0001694187other
Filed
Jul 2, 8:00 PM ET
Accepted
Jul 3, 2:10 PM ET
Size
26.7 KB
Accession
0001209191-18-040738
Insider Transaction Report
Form 4
Transactions
- Conversion
Common Stock
2018-06-29+999,998→ 999,998 total - Conversion
Common Stock
2018-06-29+999,998→ 999,998 total(indirect: By corporation) - Conversion
Common Stock
2018-06-29+782,917→ 1,782,915 total - Conversion
Series B Preferred Stock
2018-06-29−3,914,590→ 0 total→ Common Stock (782,917 underlying) - Purchase
Common Stock
2018-06-29$16.00/sh+315,000$5,040,000→ 2,097,915 total - Conversion
Series A Preferred Stock
2018-06-29−5,000,000→ 0 total→ Common Stock (999,998 underlying) - Conversion
Series A Preferred Stock
2018-06-29−5,000,000→ 0 total(indirect: By corporation)→ Common Stock (999,998 underlying)
Blavatnik Len
Other
Transactions
- Conversion
Common Stock
2018-06-29+999,998→ 999,998 total - Conversion
Series A Preferred Stock
2018-06-29−5,000,000→ 0 total→ Common Stock (999,998 underlying) - Conversion
Series B Preferred Stock
2018-06-29−3,914,590→ 0 total→ Common Stock (782,917 underlying) - Conversion
Common Stock
2018-06-29+782,917→ 1,782,915 total - Purchase
Common Stock
2018-06-29$16.00/sh+315,000$5,040,000→ 2,097,915 total - Conversion
Series A Preferred Stock
2018-06-29−5,000,000→ 0 total(indirect: By corporation)→ Common Stock (999,998 underlying) - Conversion
Common Stock
2018-06-29+999,998→ 999,998 total(indirect: By corporation)
Transactions
- Purchase
Common Stock
2018-06-29$16.00/sh+315,000$5,040,000→ 2,097,915 total - Conversion
Common Stock
2018-06-29+999,998→ 999,998 total - Conversion
Series B Preferred Stock
2018-06-29−3,914,590→ 0 total→ Common Stock (782,917 underlying) - Conversion
Common Stock
2018-06-29+782,917→ 1,782,915 total - Conversion
Series A Preferred Stock
2018-06-29−5,000,000→ 0 total→ Common Stock (999,998 underlying) - Conversion
Series A Preferred Stock
2018-06-29−5,000,000→ 0 total(indirect: By corporation)→ Common Stock (999,998 underlying) - Conversion
Common Stock
2018-06-29+999,998→ 999,998 total(indirect: By corporation)
Access Industries Holdings LLC
10% Owner
Transactions
- Conversion
Common Stock
2018-06-29+999,998→ 999,998 total(indirect: By corporation) - Conversion
Common Stock
2018-06-29+782,917→ 1,782,915 total - Conversion
Common Stock
2018-06-29+999,998→ 999,998 total - Purchase
Common Stock
2018-06-29$16.00/sh+315,000$5,040,000→ 2,097,915 total - Conversion
Series A Preferred Stock
2018-06-29−5,000,000→ 0 total→ Common Stock (999,998 underlying) - Conversion
Series A Preferred Stock
2018-06-29−5,000,000→ 0 total(indirect: By corporation)→ Common Stock (999,998 underlying) - Conversion
Series B Preferred Stock
2018-06-29−3,914,590→ 0 total→ Common Stock (782,917 underlying)
Transactions
- Conversion
Common Stock
2018-06-29+782,917→ 1,782,915 total - Conversion
Series A Preferred Stock
2018-06-29−5,000,000→ 0 total→ Common Stock (999,998 underlying) - Conversion
Series B Preferred Stock
2018-06-29−3,914,590→ 0 total→ Common Stock (782,917 underlying) - Conversion
Common Stock
2018-06-29+999,998→ 999,998 total - Conversion
Common Stock
2018-06-29+999,998→ 999,998 total(indirect: By corporation) - Purchase
Common Stock
2018-06-29$16.00/sh+315,000$5,040,000→ 2,097,915 total - Conversion
Series A Preferred Stock
2018-06-29−5,000,000→ 0 total(indirect: By corporation)→ Common Stock (999,998 underlying)
Footnotes (4)
- [F1]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.
- [F2]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.
- [F3]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.
- [F4]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.
Documents
Issuer
Neon Therapeutics, Inc.
CIK 0001694187
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001391297
Filing Metadata
- Form type
- 4
- Filed
- Jul 2, 8:00 PM ET
- Accepted
- Jul 3, 2:10 PM ET
- Size
- 26.7 KB