Heshmatpour Amir F 4/A
4/A · NEONC TECHNOLOGIES HOLDINGS, INC. · Filed Jun 5, 2025
Insider Transaction Report
Form 4/AAmended
Heshmatpour Amir F
DirectorPresident
Transactions
- Other
Common Stock
2025-03-26−3,996→ 216,459 total(indirect: By LLC) - Sale
Common Stock
2025-03-26$25.00/sh−37,500$937,500→ 257,084 total(indirect: By LLC) - Exercise of In-Money
Common Stock
2025-03-26$12.00/sh+78,125$937,500→ 294,584 total(indirect: By LLC) - Sale
Common Stock
2025-03-26$19.13/sh−964$18,441→ 256,120 total(indirect: By HCWG) - Exercise of In-Money
Warrant (right to buy)
2025-03-26−78,125→ 0 total(indirect: By LLC)Exercise: $12.00From: 2025-03-26→ Common Stock (78,125 underlying)
Holdings
- 550,000(indirect: By LLC)
Common Stock
- 2,025,000
Common Stock
- 3,714,020(indirect: By LLC)
Common Stock
Footnotes (9)
- [F1]Transfer of shares held by HCWG LLC ("HCWG") pursuant to agreement.
- [F2]Not applicable. Number of shares transferred was based on a per share value of $18.
- [F3]The shares reported as indirectly held herein by HCWG represent only Reporting Person's interest in HCWG.
- [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 37,500 warrant shares to pay the exercise price.
- [F6]Includes (i) 500,000 shares 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]Such shares are held by KIG LLC of which Reporting Person's spouse is the sole member. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.
- [F8]Reporting Person is the sole member and manager of AFH Holding & Advisory, LLC.
- [F9]Not applicable.