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:
5/99
<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
Common Stock
Common Stock
Common Stock
Common Stock
2. Transaction Date:
(Month/Day/Year)
5/7/99
5/7/99
5/10/99
2
<PAGE>
5/11/99
5/13/99
5/14/99
5/19/99
5/20/99
5/21/99
5/21/99
5/24/99
3. Transaction Code:
(Instr. 8)
Code
P
P
P
P
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
200 A 11.10 5/7/99
16,000 A 11.35 5/7/99
5,600 A 12.02 5/10/99
5,500 A 11.82 5/11/99
300 A 11.83 5/13/99
6,500 A 11.83 5/14/99
6,200 A 12.02 5/19/99
7,300 A 12.24 5/20/99
300 A 12.44 5/21/99
5,500 A 12.45 5/21/99
2,500 A 12.01 5/24/99
5. Amount of Securities Beneficially Owned at End of Month:
3
<PAGE>
(Instr. 3 and 4)
361,500
6. Ownership Form: Direct (D) or Indirect (I):
(Instr. 4)
D
D
D
D
D
D
D
D
D
D
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)
4
<PAGE>
2. Conversion or Exercise Price of Derivative Security:
3. Transaction Date:
(Month/Day/Year)
4. Transaction Code:
(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)
5
<PAGE>
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)
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");
6
<PAGE>
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 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.
7
<PAGE>
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]
8
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6 Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
9
<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:
10
<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)
11
<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:
12
<PAGE>
(Instr. 4)
Explanation of Responses:
See Form 4 of FP
[Signatures follow all attachments]
13
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
14
<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:
15
<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)
16
<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)
17
<PAGE>
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
See Form 4 of FP
[Signatures follow all attachments]
18
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
19
<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:
20
<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)
21
<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)
22
<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]
23
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
24
<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:
25
<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:
26
<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)
27
<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]
28
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
29
<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)
30
<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
31
<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)
32
<PAGE>
Explanation of Responses:
[Signatures follow all attachments]
33
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
34
<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:
35
<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)
36
<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)
37
<PAGE>
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
See Form 4 of FP
[Signatures follow all attachments]
38
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
39
<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:
40
<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)
41
<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)
42
<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]
43
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
44
<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:
45
<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:
46
<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)
47
<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]
48
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
49
<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)
50
<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
51
<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)
52
<PAGE>
Explanation of Responses:
[Signatures follow all attachments]
53
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
54
<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:
55
<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)
56
<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:
57
<PAGE>
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
58
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
59
<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)
60
<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)
61
<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)
62
<PAGE>
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
63
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
64
<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)
65
<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)
66
<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)
67
<PAGE>
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
68
<PAGE>
Attachment To Form 4 of Four Partners
in Respect of Neurogen Corporation (NRGN)
Statement for: 5/99
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:
5/99
5. If Amendment, Date of Original:
(Month/Year)
6. Relationship of Reporting Person(s) to Issuer: (Check all applicable)
_____ Director
_____ Officer (give title below)
69
<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)
70
<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:
71
<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)
72
<PAGE>
11. Nature of Indirect Beneficial Ownership:
(Instr. 4)
Explanation of Responses:
[Signatures follow all attachments]
73
<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
74
<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: June 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.
75
