Form4insider filings, from the source

SEC Form 4 · accession 0001209191-18-040738

Neon Therapeutics, Inc. · NTGN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners
Period of report
Jun 29, 2018
Accepted (ET)
Jul 3, 2018 · 2:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001694187

Table I — non-derivative securities

SecurityDateCodeSharesPriceA/DOwned afterD/INature of ownership
Common StockF1,F2Jun 29, 2018C999,998—A999,998D
Common StockF1,F3Jun 29, 2018C999,998—A999,998IBy corporation
Common StockF4,F2Jun 29, 2018C782,917—A1,782,915D
Common StockF2Jun 29, 2018P315,000$16.00A2,097,915D

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Series A Preferred StockF1,F2—Jun 29, 2018C5,000,000D——Common Stock999,9980D
Series A Preferred StockF1,F3—Jun 29, 2018C5,000,000D——Common Stock999,9980I
Series B Preferred StockF4,F2—Jun 29, 2018C3,914,590D——Common Stock782,9170D

Explanation of responses

Remarks

As a result of CBI's relationships with the other Reporting Persons, it is possible that CBI may be deemed a member of a "group", within the meaning of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934, as amended (the" Act"), with such other Reporting Persons. CBI is making this filing as a precautionary matter and this filing shall not be deemed an admission that CBI is a member of a group or is subject to the reporting requirements of Section 16 of the Act.