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)
3/5/99
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)
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
409,625
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
<PAGE>
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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT
II");
7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT
II");
8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT
II"); and
3
<PAGE>
9. 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").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II,
and Thomas Tisch GRAT II 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.
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.
On March 5, 1999, the following transfers occurred (the "GRAT
Transfers"):
1. Four Partners, a New York general partnership ("FP"),
distributed all of the 1,638,500 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.
As a result of the GRAT Transfers, FP is no longer the beneficial
owner of any shares of Common Stock. Beneficial ownership of the shares
of Common Stock previously held by FP is herein reported by the Messrs.
Tisch and the GRATs.
4
<PAGE>
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.
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]
5
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/5/99
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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT
II");
7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT
II");
8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT
II"); and
9. 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").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and
Thomas Tisch GRAT II 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
499 Park Avenue
New York, NY 10022
6
<PAGE>
2. Date of Event Requiring Statement (Month/Day/Year)
3/5/99
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)
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
409,625
3. Ownership Form: Direct (D) or Indirect (I)
I
7
<PAGE>
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
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]
8
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/5/99
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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT
II");
7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT
II");
8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT
II"); and
9. 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").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and
Thomas Tisch GRAT II 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
9
<PAGE>
2. Date of Event Requiring Statement (Month/Day/Year)
3/5/99
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)
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
409,625
3. Ownership Form: Direct (D) or Indirect (I)
I
10
<PAGE>
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
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]
11
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/5/99
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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT
II");
7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT
II");
8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT
II"); and
9. 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").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and
Thomas Tisch GRAT II 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
12
<PAGE>
2. Date of Event Requiring Statement (Month/Day/Year)
3/5/99
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)
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
409,625
3. Ownership Form: Direct (D) or Indirect (I)
I
13
<PAGE>
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
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: 3/5/99
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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT
II");
7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT
II");
8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT
II"); and
9. 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").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and
Thomas Tisch GRAT II 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
15
<PAGE>
2. Date of Event Requiring Statement (Month/Day/Year)
3/5/99
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)
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
300,000
3. Ownership Form: Direct (D) or Indirect (I)
D
16
<PAGE>
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
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]
17
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/5/99
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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT
II");
7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT
II");
8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT
II"); and
9. 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").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and
Thomas Tisch GRAT II 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
665 Madison Avenue
New York, NY 10021
18
<PAGE>
2. Date of Event Requiring Statement (Month/Day/Year)
3/5/99
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)
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
409,625
3. Ownership Form: Direct (D) or Indirect (I)
D
19
<PAGE>
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
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]
20
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/5/99
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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT
II");
7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT
II");
8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT
II"); and
9. 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").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and
Thomas Tisch GRAT II 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
665 Madison Avenue
New York, NY 10021
21
<PAGE>
2. Date of Event Requiring Statement (Month/Day/Year)
3/5/99
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)
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
409,625
3. Ownership Form: Direct (D) or Indirect (I)
D
22
<PAGE>
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
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]
23
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 3/5/99
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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT
II");
7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT
II");
8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT
II"); and
9. 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").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and
Thomas Tisch GRAT II are referred to herein individually as a "Reporting Person"
and collectively as 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
665 Madison Avenue
New York, NY 10021
24
<PAGE>
2. Date of Event Requiring Statement (Month/Day/Year)
3/5/99
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)
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
409,625
3. Ownership Form: Direct (D) or Indirect (I)
D
25
<PAGE>
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
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: 3/5/99
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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT
II");
7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT
II");
8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT
II"); and
9. 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").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and
Thomas Tisch GRAT II are referred to herein individually as a "Reporting Person"
and collectively as 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
665 Madison Avenue
New York, NY 10021
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<PAGE>
2. Date of Event Requiring Statement (Month/Day/Year)
3/5/99
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)
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
409,625
3. Ownership Form: Direct (D) or Indirect (I)
D
28
<PAGE>
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
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]
29
<PAGE>
SIGNATURE
WITNESS, the signatures of the undersigned this 15th day of
March 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
30
<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
31
