SEC Form 4/A · accession 0001213900-26-092276
NEONC TECHNOLOGIES HOLDINGS, INC. · NTHI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Thomas C Chen
Officer — Chief Scientific Officer · Director · 10% Owner
Period of report
Apr 10, 2026
Accepted (ET)
Aug 20, 2026 · 9:15 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001979414
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Apr 10, 2026 | P | 948 | $5.1677 | A | 948 | I | By IRA |
| Common Stock | Apr 24, 2026 | P | 10,000 | $4.80 | A | 10,000 | I | By Defined Benefit Plan |
| Common StockF1,F3,F4 | Aug 14, 2026 | P | 33,787 | $3.8477 | A | 581,059 | D | |
| Common StockF1,F5,F4 | Aug 17, 2026 | P | 2,472 | $4.0445 | A | 583,531 | D | |
| Common StockF6 | holding | — | — | — | 261,242 | I | By HCWG LLC | |
| Common StockF7 | holding | — | — | — | 888,148 | I | By NeuCen Biomedical Co. Ltd. | |
| Common StockF8 | holding | — | — | — | 2,833,961 | I | By TR Chen Third Family Limited Partnership | |
| Common StockF9 | holding | — | — | — | 93,253 | I | By Tien Duan Chen Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The aggregate number of shares of Issuer's common stock (the "Shares") purchased by the Reporting Person on the same day at different prices.
- F2Represents the weighted average purchase price. The Shares were purchased at prices ranging from $5.165 to $5.1722 per share, inclusive. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff, Issuer or any security holder, upon request.
- F3Represents the weighted average purchase price. The Shares were purchased at prices ranging from $3.2299 to $4.0993 per share, inclusive. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff, Issuer or any security holder, upon request.
- F4Includes 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.
- F5Represents the weighted average purchase price. The Shares were purchased at prices ranging from $4.04 to $4.1699 per share, inclusive. Full information regarding the number of Shares sold at each price shall be provided to the Securities and Exchange Commission staff, Issuer or any security holder, upon request.
- F6Such shares represent only Reporting Person's percentage interest in HCWG LLC.
- F7Shares 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.
- F8Shares 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.
- F9Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest, if any, therein.