4/A//SEC Filing
CHEN THOMAS C 4/A
Accession 0001213900-25-051685
CIK 0001979414other
Filed
Jun 4, 8:00 PM ET
Accepted
Jun 5, 7:05 PM ET
Size
17.5 KB
Accession
0001213900-25-051685
Insider Transaction Report
Form 4/AAmended
CHEN THOMAS C
DirectorCEO10% Owner
Transactions
- Exercise of In-Money
Common Stock
2025-03-26$12.00/sh+79,688$956,256→ 300,475 total(indirect: By LLC) - Sale
Common Stock
2025-03-26$19.13/sh−983$18,805→ 261,242 total(indirect: By LLC) - Sale
Common Stock
2025-03-26$25.00/sh−38,250$956,250→ 262,225 total(indirect: By LLC) - Other
Common Stock
2025-03-26−4,076→ 220,787 total(indirect: By LLC) - Exercise of In-Money
Warrant (right to buy)
2025-03-26−79,688→ 0 total(indirect: By HCWG)Exercise: $12.00From: 2025-03-26→ Common Stock (79,688 underlying)
Holdings
- 545,800(indirect: See footnote 6.)
Common Stock
- 2,833,961(indirect: By Partnership)
Common Stock
- 888,148(indirect: By NeuCen Biomedical Co. Ltd.)
Common Stock
- 93,253(indirect: By Trust)
Common Stock
Footnotes (9)
- [F1]Transfer of shares of common stock held by HCWG LLC pursuant to agreement.
- [F2]Not applicable. Number of shares transferred was based on a per share value of $18.
- [F3]The shares reported herein represent only Reporting Person's percentage interest in HCWG LLC.
- [F4]On 3/26/2025, in conjunction with Issuer's initial listing on Nasdaq, HCWG exercised a warrant to purchase 312,500 shares of Issuer's common stock at $12 per share. HCWG paid the exercise price on a cashless basis, resulting in Issuer's withholding 150,000 of the warrant shares to pay the exercise price and issuing to HCWG the remaining 162,500 shares of common stock. Number of shares reported herein as acquired and disposed of by the Reporting Person represents Reporting Person's indirect interest in HCWG.
- [F5]In connection with HCWG's cashless exercise of the warrant described herein, Reporting Person paid his proportionate share of the exercise price on a cashless basis. Reporting Person's proportionate withholding from shares issued to HCWG totaled 38,250 warrant shares to pay the exercise price.
- [F6]Includes shares of common stock held by certain members of Reporting Person's immediate family of which Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest, if any, therein.
- [F7]Shares held by NeuCen Biomedical Co. Ltd. ("NeuCen"). NeuCen is owned in part by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.
- [F8]Shares held by T. R. Chen Third Family Limited Partnership, a NV limited partnership, of which Reporting Person and his spouse are the general partners with sole voting and dispositive power. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.
- [F9]Not applicable.
Documents
Issuer
NEONC TECHNOLOGIES HOLDINGS, INC.
CIK 0001979414
Entity typeother
Related Parties
1- filerCIK 0001998682
Filing Metadata
- Form type
- 4/A
- Filed
- Jun 4, 8:00 PM ET
- Accepted
- Jun 5, 7:05 PM ET
- Size
- 17.5 KB