UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act
of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
(Print or Type Responses)
1. Name and Address of Reporting Person:
Thomas J. Tisch
667 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
<PAGE>
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
547,125
3. Ownership Form: Direct (D) or Indirect (I)
I
4. Nature of Indirect Beneficial Ownership
(See explanation)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
2
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3. Title and Amount of Securities Underlying Derivative Security
Title
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
Explanation of Responses:
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, a New York general partnership ("FP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
3
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10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs II");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI" and together with the GRATs II, the "GRATs").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT VI, and Thomas Tisch GRAT VI are referred to herein individually as a
"Reporting Person" and collectively as the "Reporting Persons."
The members of 4-14P are trusts for the benefit of the offspring of the
Messrs. Tisch, partnerships the partners of which are such trusts and
partnerships the partners of which are such partnerships. The Messrs. Tisch
serve as the trustees of such trusts. Thomas J. Tisch has been appointed the
Manager of 4-14P.
The sole partners of FP are Andrew H. Tisch 1991 Trust, for which
Andrew H. Tisch is the managing trustee, Daniel R. Tisch 1991 Trust, for which
Daniel R. Tisch is the managing trustee, James S. Tisch 1991 Trust, for which
James S. Tisch is the managing trustee, and Thomas J. Tisch 1991 Trust, for
which Thomas J. Tisch is the managing trustee. Thomas J. Tisch has been
appointed the Manager of FP.
Each of the GRATs is a grantor retained annuity Trust in which the
grantor holds an annuity interest and in which the remainder interest was
created in favor of a trust or trusts for the grantor's offspring. Thomas J.
Tisch is the grantor and Andrew H. Tisch is the trustee of Thomas Tisch GRAT II.
Daniel R. Tisch is the grantor and James S. Tisch is the trustee of Daniel Tisch
GRAT II. James S. Tisch is the grantor and Thomas J. Tisch is the trustee of
James Tisch GRAT II. Andrew H. Tisch is the grantor and Daniel R. Tisch is the
trustee of Andrew Tisch GRAT II. Thomas J. Tisch is the grantor and Andrew H.
Tisch is the trustee of
4
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Thomas Tisch GRAT VI. Daniel R. Tisch is the grantor and James S. Tisch is the
trustee of Daniel Tisch GRAT VI. James S. Tisch is the grantor and Thomas J.
Tisch is the trustee of James Tisch GRAT VI. Andrew H. Tisch is the grantor and
Daniel R. Tisch is the trustee of Andrew Tisch GRAT VI.
On February 26, 1999, FP purchased 190,000 shares of Common Stock (as defined
below), bringing its total ownership to 1,638,500 shares of Common Stock. On
March 5, 1999, the following transfers occurred (the "GRAT II Transfers"):
1. FP distributed all of the shares of Common Stock it owned in equal
shares of 409,625 each to the four trusts that are partners of FP;
2. Each of the four trusts that are partners of FP distributed all of
the 409,625 shares of Common Stock that it had received from FP to
the Mr. Tisch who is the beneficiary of such trust;
3. Each of the Messrs. Tisch contributed all of the 409,625 shares of
Common Stock that he had received to the GRAT for which he is the
grantor.
Between March 15, 1999 and March 30, 1999, FP purchased 731,000 shares of Common
Stock (as defined below). On March 31, 1999, the following transfers occurred
(the "GRAT VI Transfers"):
1. FP distributed 550,000 shares of common stock, $0.025 par value per
share, of Neurogen Corporation ("Common Stock") it owned in equal
shares of 137,500 each to the four trusts that are partners of FP;
2. Each of the four trusts that are partners of FP distributed all of
the 137,500 shares of Common Stock that it had received from FP to
the Mr. Tisch who is the beneficiary of such trust;
3. Each of the Messrs. Tisch contributed all of the 137,500 shares of
Common Stock that he had received to the GRAT VI for which he is
the grantor.
5
<PAGE>
As a result of the GRAT VI Transfers, FP is the beneficial owner of
181,000 shares of Common Stock. Beneficial ownership of the shares of Common
Stock previously held by FP and distributed to the GRATs is herein reported by
the Messrs. Tisch and the GRATs.
None of the GRAT Transfers was a "sale" for purposes of the Securities
Act of 1933, as amended (the "Securities Act"), or the Securities Exchange Act
of 1934, as amended (the "Exchange Act"), and collectively represented only a
change in the form of beneficial ownership of the shares of Common Stock and not
an actual change in the beneficial ownership of such shares of Common Stock.
Each of the Messrs. Tisch is herein reporting beneficial ownership of
the shares of Common Stock owned by the GRATs for which he is the Grantor.
The filing of this statement is not an admission by any Reporting
Person that such Reporting Person and any other person or persons constitute a
"group" for purposes of Section 13(d)(3) of the Securities Exchange Act of 1934,
as amended, or Rule 13d-5 thereunder or that any Reporting Person is the
beneficial owner of any securities owned by any other person.
[Signatures follow all attachments]
6
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs II");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
7
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
Daniel R. Tisch
c/o Mentor Partners, LP
500 Park Avenue
New York, NY 10022
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
8
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
547,125
3. Ownership Form: Direct (D) or Indirect (I)
I
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
9
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
10
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
11
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
James S. Tisch
667 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
12
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
547,125
3. Ownership Form: Direct (D) or Indirect (I)
I
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
Amount or Number of Shares
13
<PAGE>
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
14
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
15
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
Andrew H. Tisch
667 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
16
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
547,125
3. Ownership Form: Direct (D) or Indirect (I)
I
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
17
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
18
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
19
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
Four-Fourteen Partners LLC
c/o Thomas J. Tisch
667 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
20
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
300,000
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
21
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
22
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
23
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
The Thomas J. Tisch 1999 Annuity Trust II
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
24
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
409,625
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
25
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
26
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
27
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
The Daniel R. Tisch 1999 Annuity Trust II
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
28
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
409,625
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
29
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
30
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
31
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
The James S. Tisch 1999 Annuity Trust II
c/o Thomas J. Tisch
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
32
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
409,625
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
33
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
34
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
35
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
The Andrew H. Tisch 1999 Annuity Trust II
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
36
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
409,625
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
37
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
38
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs II");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
39
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
The Andrew H. Tisch 1999 Annuity Trust VI
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
40
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
137,500
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
41
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
42
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs II");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
43
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
The Thomas J. Tisch 1999 Annuity Trust VI
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
44
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
137,500
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
45
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
46
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs II");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
47
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
The James S. Tisch 1999 Annuity Trust VI
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
48
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
137,500
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
49
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
50
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs II");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
51
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
The James S. Tisch 1999 Annuity Trust VI
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
52
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
137,500
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
53
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
54
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/31/99
This Form 3 is being filed jointly by the following individuals and
entities:
1. Thomas J. Tisch;
2. Daniel R. Tisch;
3. James S. Tisch;
4. Andrew H. Tisch (Thomas J. Tisch, Daniel R. Tisch, James S. Tisch
and Andrew H. Tisch are referred to collectively as the "Messrs. Tisch");
5. Four-Fourteen Partners, LLC, a Delaware limited liability company
("4-14P");
6. Four Partners, A New York general Partnership ("TP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II");
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II";
and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II and James Tisch
GRAT II, the "GRATs II");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI");
and
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI";
and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch
GRAT VI, the "GRATs VI").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI, James Tisch
GRAT
55
<PAGE>
VI, and Thomas Tisch GRAT VI are referred to herein individually as a "Reporting
Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the
designated filer for the Reporting Persons.
Joint Filer Information
1. Name and Address of Reporting Person:
The Andrew H. Tisch 1999 Annuity Trust VI
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
3/31/99
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary):
4. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
5. Relationship of Reporting Persons(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
3/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
56
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
137,500
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
57
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
58
<PAGE>
SIGNATURE
WITNESS, the signatures of the undersigned this 12th day of April 1999.
FOUR-FOURTEEN PARTNERS, LLC
By /s/ Thomas J. Tisch
--------------------------------------
Thomas J. Tisch, Manager
/s/ Andrew H. Tisch
--------------------------------------
Andrew H. Tisch
/s/ Daniel R. Tisch
--------------------------------------
Daniel R. Tisch
/s/ James S. Tisch
--------------------------------------
James S. Tisch
/s/ Thomas J. Tisch
--------------------------------------
Thomas J. Tisch
THE ANDREW H. TISCH 1999 ANNUITY TRUST II
By /s/ Daniel R. Tisch
--------------------------------------
Daniel R. Tisch, Trustee
THE DANIEL R. TISCH 1999 ANNUITY TRUST II
By /s/ James S. Tisch
--------------------------------------
James S. Tisch, Trustee
59
<PAGE>
THE JAMES S. TISCH 1999 ANNUITY TRUST II
By /s/ Thomas J. Tisch
--------------------------------------
Thomas J. Tisch, Trustee
THE THOMAS J. TISCH 1999 ANNUITY TRUST II
By /s/ Andrew H. Tisch
--------------------------------------
Andrew H. Tisch, Trustee
THE ANDREW H. TISCH 1999 ANNUITY TRUST VI
By /s/ Daniel T. Tisch
--------------------------------------
Daniel R. Tisch, Trustee
THE DANIEL R. TISCH 1999 ANNUITY TRUST VI
By /s/ James S. Tisch
--------------------------------------
James S. Tisch, Trustee
THE JAMES S. TISCH 1999 ANNUITY TRUST VI
By /s/ Thomas J. Tisch
--------------------------------------
Thomas J. Tisch, Trustee
THE THOMAS J. TISCH 1999 ANNUITY TRUST VI
By /s/ Andrew H. Tisch
--------------------------------------
Andrew H. Tisch, Trustee
60
