SEC Form 4 · accession 0001104659-18-043232
Neon Therapeutics, Inc. · NTGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Jun 29, 2018
Accepted (ET)
Jun 29, 2018 · 4:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001694187
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 29, 2018 | C | 665,922 | — | A | 665,922 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF1 | — | Jun 29, 2018 | C | 3,329,610 | D | — | — | Common Stock | 665,922 | 0 | D |
Explanation of responses
- F1The Series B Convertible Preferred Stock converted into Common Stock on a 5-for-one basis upon the closing of the Issuer's initial public offering. The shares had no expiration date.