FORM 4
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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
/ / Check this box if no longer subject to Section 16.
Form 4 or Form 5 obligations may continue.
See Instruction 1(b).
1. Name and Address of Reporting Person*:
Four Partners
------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Thomas J. Tisch
667 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
<PAGE>
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value ("Common Stock")
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
Common Stock
2. Transaction Date:
(Month/Day/Year)
4/6/99
4/6/99
4/8/99
4/12/99
4/13/99
4/14/99
2
<PAGE>
4/19/99
3. Transaction Code:
(Instr. 8)
Code
P
P
P
P
P
P
P
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
15,000 A 10.75 4/6/99
18,100 A 10.75 4/6/99
2,500 A 10.75 4/8/99
47,500 A 10.82 4/12/99
27,500 A 10.78 4/13/99
5,000 A 10.75 4/14/99
9,000 A 10.77 4/19/99
5. Amount of Securities Beneficially Owned at End of Month:
(Instr. 3 and 4)
305,600
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
D
D
D
D
D
3
<PAGE>
D
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Reminder: Report on a separate line for each class of securities
beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction
4(b)(v).
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
4
<PAGE>
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
5
<PAGE>
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
This Form 4 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");
and
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
6
<PAGE>
VI and James Tisch GRAT VI, the "GRATs VI" and together with the GRATs II, the
"GRATs").
FP is the designated filer.
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. Andrew H. Tisch,
Daniel R. Tisch, James S. Tisch and Thomas J. Tisch are referred to
herein as the "Messrs. Tisch."
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.
Each of 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 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.
Each of the Messrs. Tisch is herein reporting beneficial ownership
of the shares of Common Stock owned by the GRAT 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]
7
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
Four-Fourteen Partners LLC
------------------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Thomas J. Tisch
667 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
8
<PAGE>
_____ Officer (give title below)
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
9
<PAGE>
(Instr. 3 and 4)
300,000
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
10
<PAGE>
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
11. Nature of Indirect Beneficial Ownership:
11
<PAGE>
(Instr. 4)
Explanation of Responses:
See Form 4 of FP
[Signatures follow all attachments]
12
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
Thomas J. Tisch 1999 Annuity Trust II
------------------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Barry Bloom
655 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
13
<PAGE>
_____ Officer (give title below)
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
14
<PAGE>
(Instr. 3 and 4)
409,625
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
15
<PAGE>
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
16
<PAGE>
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
See Form 4 of FP
[Signatures follow all attachments]
17
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
Daniel R. Tisch 1999 Annuity Trust II
------------------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Barry Bloom
655 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
18
<PAGE>
_____ Officer (give title below)
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
19
<PAGE>
(Instr. 3 and 4)
409,625
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
20
<PAGE>
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
21
<PAGE>
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
22
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
James S. Tisch 1999 Annuity Trust II
------------------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Barry Bloom
655 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
23
<PAGE>
_____ Officer (give title below)
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
24
<PAGE>
(Instr. 3 and 4)
409,625
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
25
<PAGE>
(Instr. 8)
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
26
<PAGE>
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
27
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
Andrew H. Tisch 1999 Annuity Trust II
------------------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Thomas J. Tisch
655 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
28
<PAGE>
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
(Instr. 3 and 4)
29
<PAGE>
409,625
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
Code
30
<PAGE>
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
31
<PAGE>
Explanation of Responses:
[Signatures follow all attachments]
32
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
Thomas J. Tisch 1999 Annuity Trust VI
------------------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Barry Bloom
655 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
33
<PAGE>
_____ Officer (give title below)
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
34
<PAGE>
(Instr. 3 and 4)
137,500
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
35
<PAGE>
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
36
<PAGE>
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
See Form 4 of FP
[Signatures follow all attachments]
37
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
Daniel R. Tisch 1999 Annuity Trust VI
------------------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Barry Bloom
655 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
38
<PAGE>
_____ Officer (give title below)
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
39
<PAGE>
(Instr. 3 and 4)
137,500
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
40
<PAGE>
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
41
<PAGE>
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
42
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
James S. Tisch 1999 Annuity Trust VI
------------------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Barry Bloom
655 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
43
<PAGE>
_____ Officer (give title below)
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
44
<PAGE>
(Instr. 3 and 4)
137,500
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
45
<PAGE>
(Instr. 8)
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
46
<PAGE>
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
47
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
Andrew H. Tisch 1999 Annuity Trust VI
------------------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Thomas J. Tisch
655 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
48
<PAGE>
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
(Instr. 3 and 4)
49
<PAGE>
137,500
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
Code
50
<PAGE>
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
51
<PAGE>
Explanation of Responses:
[Signatures follow all attachments]
52
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
Thomas J. Tisch
------------------------------------------
(LAST) (FIRST) (MIDDLE)
667 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
53
<PAGE>
_____ Officer (give title below)
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
54
<PAGE>
(Instr. 3 and 4)
547,125
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
I
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
(See explanation to Form 4 of FP)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
55
<PAGE>
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
11. Nature of Indirect Beneficial Ownership:
56
<PAGE>
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
57
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
Daniel R. Tisch
------------------------------------------
(LAST) (FIRST) (MIDDLE)
c/o Mentor Partners, L.P.
500 Park Avenue
-------------------------------------------
(STREET)
New York, New York 10022
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
58
<PAGE>
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
(Instr. 3 and 4)
59
<PAGE>
547,125
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
I
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
(See explanation to Form 4 of FP)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
60
<PAGE>
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
61
<PAGE>
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
62
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
James S. Tisch
------------------------------------------
(LAST) (FIRST) (MIDDLE)
667 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
63
<PAGE>
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
(Instr. 3 and 4)
64
<PAGE>
547,125
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
I
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
(See explanation to Form 4 of FP)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(Instr. 8)
65
<PAGE>
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
66
<PAGE>
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
67
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 4/99
Joint Filer Information
1. Name and Address of Reporting Person*:
Andrew H. Tisch
------------------------------------------
(LAST) (FIRST) (MIDDLE)
667 Madison Avenue
-------------------------------------------
(STREET)
New York, New York 10021
------------------------------------------
(CITY) (STATE) (ZIP)
2. Issuer Name and Ticker or Trading Symbol:
Neurogen Corporation (NRGN)
3. IRS Identification Number of Reporting Person, if an entity (Voluntary):
4. Statement for Month/Year:
4/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
68
<PAGE>
__X__ 10% Owner
_____ Other (specify below)
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 Acquired,
Disposed of, or Beneficially Owned
1. Title of Security:
(Instr. 3)
Common Stock, $0.025 par value
2. Transaction Date:
(Month/Day/Year)
3. Transaction Code:
(Instr. 8)
Code
4. Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
Amount (A) or (D) Price
5. Amount of Securities Beneficially Owned at End of Month:
(Instr. 3 and 4)
69
<PAGE>
547,125
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
I
7. Nature of Indirect Beneficial Ownership:
(Instr. 4)
(See explanation to Form 4 of FP)
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title of Derivative Security:
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
70
<PAGE>
(Instr. 8)
Code
5. Number of Derivative Securities Acquired (A) or Disposed of (D):
(Instr. 3, 4 and 5)
(A) (D)
6. Date Exercisable and Expiration Date:
(Month/Day/Year)
Date Exercisable Expiration Date
7. Title and Amount of Underlying Securities:
(Instr. 3 and 4)
Title Amount or Number of Shares
8. Price of Derivative Security:
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned at End of Month:
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I):
(Instr. 4)
71
<PAGE>
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
72
<PAGE>
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
FOUR PARTNERS
By /s/ Thomas J. Tisch
---------------------------------
Thomas J. Tisch, Manager
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
73
<PAGE>
THE DANIEL R. TISCH 1999 ANNUITY TRUST II
By /s/ James S. Tisch
---------------------------------
James S. Tisch, Trustee
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 R. 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
Date: May 10, 1999
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of the Form, one of which must be manually signed. If
space provided is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
74
