NEON THERAPEUTICS, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows, 20 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-06-29: Reporting owner Pfeffer Cary; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2018-06-29: Reporting owner Pfeffer Cary; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2018-06-29: Reporting owner TEPPER ROBERT I; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2018-06-29: Reporting owner TEPPER ROBERT I; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-06-29 | Pfeffer Cary Director | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −0 0 owned after | no price filed | 2018-07-03 | |
| 2018-06-29 | Pfeffer Cary Director | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −0 0 owned after | no price filed | 2018-07-03 | |
| 2018-06-29 | TEPPER ROBERT I Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −0 0 owned after | no price filed | 2018-07-03 | |
| 2018-06-29 | TEPPER ROBERT I Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −0 0 owned after | no price filed | 2018-07-03 | |
| 2018-06-29 | LEVIN MARK J | TRV GP III, LLC | Third Rock Ventures III, L.P. | STARR KEVIN P | Third Rock Ventures GP III, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −45,000,000 0 owned after | no price filed | 2018-07-03 | |
| 2018-06-29 | LEVIN MARK J | TRV GP III, LLC | Third Rock Ventures III, L.P. | STARR KEVIN P | Third Rock Ventures GP III, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,708,185 0 owned after | no price filed | 2018-07-03 | |
| 2018-06-29 | Access Industries Holdings LLC | ACCESS INDUSTRIES, LLC | Blavatnik Len | ACCESS INDUSTRIES MANAGEMENT, LLC | Clal Biotechnology Industries Ltd. 10% Owner | Other (Affiliate of 10% Owner) | Other | Other (Affiliate of 10% Owner) | Other (Affiliate of 10% Owner) | 4 | Series A Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −5,000,000 0 owned after | no price filed | 2018-07-03 | |
| 2018-06-29 | Access Industries Holdings LLC | ACCESS INDUSTRIES, LLC | Blavatnik Len | ACCESS INDUSTRIES MANAGEMENT, LLC | Clal Biotechnology Industries Ltd. 10% Owner | Other (Affiliate of 10% Owner) | Other | Other (Affiliate of 10% Owner) | Other (Affiliate of 10% Owner) | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −5,000,000 0 owned after | no price filed | 2018-07-03 | |
| 2018-06-29 | Access Industries Holdings LLC | ACCESS INDUSTRIES, LLC | Blavatnik Len | ACCESS INDUSTRIES MANAGEMENT, LLC | Clal Biotechnology Industries Ltd. 10% Owner | Other (Affiliate of 10% Owner) | Other | Other (Affiliate of 10% Owner) | Other (Affiliate of 10% Owner) | 4 | Series B Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −3,914,590 0 owned after | no price filed | 2018-07-03 | |
| 2018-06-29 | Hadley Harbor Master Investors (Cayman) L.P. 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,329,610 0 owned after | $0.00 | 2018-06-29 | |
| 2018-06-26 holding as of filing | Hadley Harbor Master Investors (Cayman) L.P. 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-26 | ||
| 2018-06-26 holding as of filing | STARR KEVIN P | Third Rock Ventures III, L.P. | Third Rock Ventures GP III, L.P. | TRV GP III, LLC | LEVIN MARK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-26 | ||
| 2018-06-26 holding as of filing | STARR KEVIN P | Third Rock Ventures III, L.P. | Third Rock Ventures GP III, L.P. | TRV GP III, LLC | LEVIN MARK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-26 | ||
| 2018-06-26 holding as of filing | TEPPER ROBERT I Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2018-06-26 | ||
| 2018-06-26 holding as of filing | TEPPER ROBERT I Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2018-06-26 | ||
| 2018-06-26 holding as of filing | Pfeffer Cary Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2018-06-26 | ||
| 2018-06-26 holding as of filing | Pfeffer Cary Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2018-06-26 | ||
| 2018-06-26 holding as of filing | ACCESS INDUSTRIES, LLC | Blavatnik Len | Access Industries Holdings LLC | Clal Biotechnology Industries Ltd. | ACCESS INDUSTRIES MANAGEMENT, LLC Other (Affiliate of 10% Owner) | Other | 10% Owner | 10% Owner | Other | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-26 | ||
| 2018-06-26 holding as of filing | ACCESS INDUSTRIES, LLC | Blavatnik Len | Access Industries Holdings LLC | Clal Biotechnology Industries Ltd. | ACCESS INDUSTRIES MANAGEMENT, LLC Other (Affiliate of 10% Owner) | Other | 10% Owner | 10% Owner | Other | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-26 | ||
| 2018-06-26 holding as of filing | ACCESS INDUSTRIES, LLC | Blavatnik Len | Access Industries Holdings LLC | Clal Biotechnology Industries Ltd. | ACCESS INDUSTRIES MANAGEMENT, LLC Other (Affiliate of 10% Owner) | Other | 10% Owner | 10% Owner | Other | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2018-06-26 |