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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 5)*
Neurogen Corporation
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $0.25 per share
- --------------------------------------------------------------------------------
(Title of Class of Securities)
64124E 10 6
-------------------------------------------------------
(CUSIP Number)
Thomas J. Tisch
667 Madison Avenue
New York, NY 10021
(212) 545-2927
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
-------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box [X].
NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See ss. 240.13d-7(b) for other
parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
SEC 1746(12-91)
Page 1 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 2 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Four Partners
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
488,800
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 488,800
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
488,800
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.3%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 2 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 3 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Four-Fourteen Partners LLC
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
300,000
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 300,000
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
300,000
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.0%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
00
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 3 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 4 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Andrew H. Tisch
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,335,925
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
1,335,925
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,335,925
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.0%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 4 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 5 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Daniel R. Tisch
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,335,925
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
1,335,925
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,335,925
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.0%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 5 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 6 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
James S. Tisch
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,335,925
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
1,335,925
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,335,925
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.0%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 6 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 7 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Thomas J. Tisch
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,335,925
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
1,335,925
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,335,925
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.0%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 7 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 8 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The Andrew H. Tisch 1999 Annuity Trust II
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 346,940
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
346,940
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
346,940
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.3%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 8 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 9 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The Daniel R. Tisch 1999 Annuity Trust II
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 346,940
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
346,940
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
346,940
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.3%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 9 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 10 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The James S. Tisch 1999 Annuity Trust II
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 346,940
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
346,940
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
346,940
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.3%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 10 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 11 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The Thomas J. Tisch 1999 Annuity Trust II
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 346,940
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
346,940
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
346,940
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.3%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 11 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 12 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The Andrew H. Tisch 1999 Annuity Trust VI
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 111,943
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
111,943
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
111,943
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.8%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 12 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 13 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The Daniel R. Tisch 1999 Annuity Trust VI
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 111,943
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
111,943
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
111,943
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.8%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 13 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 14 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The James S. Tisch 1999 Annuity Trust VI
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 111,943
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
111,943
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
111,943
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.8%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 14 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 15 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The Thomas J. Tisch 1999 Annuity Trust VI
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 111,943
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
111,943
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
111,943
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.8%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 15 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 16 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The Andrew H. Tisch 2000 Annuity Trust IV
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 88,242
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
88,242
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
88,242
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.6%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 16 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 17 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The Daniel R. Tisch 2000 Annuity Trust IV
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 88,242
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
88,242
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
88,242
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.6%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 17 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 18 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The James S. Tisch 2000 Annuity Trust IV
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 88,242
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
88,242
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
88,242
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.6%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 18 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 19 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
The Thomas J. Tisch 2000 Annuity Trust IV
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 88,242
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
88,242
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
88,242
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.6%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 19 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 20 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Baker-Tisch Investments, LLC
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
57,350
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 57,350
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
57,350
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.4%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 20 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 21 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Baker Bros. Investments LLC
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
57,350
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY -0-
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 57,350
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
57,350
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.4%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 21 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 22 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Julian C. Baker
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
36,200
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 173,200
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 36,200
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
173,200
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
209,400
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 22 of 33 pages
<PAGE>
SCHEDULE 13D
- ------------------------- -------------------------
CUSIP No. 64124E106 Page 23 of 33 Pages
- ------------------------- -------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Felix J. Baker
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
PF
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
24,692
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 173,200
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 24,692
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
173,200
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
197,892
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.3%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEM 1-7 (INCLUDING EXHIBITS) OF
THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
Page 23 of 33 pages
<PAGE>
- ------------------------- -------------------------
CUSIP No. 64124E 10 6 Page 24 of 33 Pages
- ------------------------- -------------------------
This Amendment No. 5 to Schedule 13D amends and supplements the
statement on Schedule 13D previously filed by Four Partners, a New York general
partnership, and other entities and individuals with the Securities and Exchange
Commission.
Item 2. Identity and Background.
In addition to the entities and individuals previously reporting on the
statement, this amendment is also being filed jointly by the following entities
(collectively, along with the entities and individuals previously reporting, the
"Reporting Persons"):
1. The Andrew H. Tisch 2000 Annuity Trust IV ("Andrew Tisch 2000
GRAT IV");
2. The Daniel R. Tisch 2000 Annuity Trust IV ("Daniel Tisch 2000
GRAT IV");
3. The James S. Tisch 2000 Annuity Trust IV ("James Tisch 2000
GRAT IV");
4. The Thomas J. Tisch 2000 Annuity Trust IV ("Thomas Tisch 2000
GRAT IV");
5. Baker-Tisch Investments, LLC ("Baker-Tisch Investments"), a
Delaware limited liability company; and
6. Baker Bros. Investments LLC ("Baker Bros. Investments"), a
Delaware limited liability company.
Each of Andrew Tisch 2000 GRAT IV, Daniel Tisch 2000 GRAT IV, James
Tisch 2000 GRAT IV, Thomas Tisch 2000 GRAT IV, Baker-Tisch Investments and Baker
Bros. Investments has a principal business of investments. Their mailing
address is c/o Tisch Family Interests, 667 Madison Avenue, New York, New York
10021.
During the last five years, none of the persons or the entities named
in this Item 2 has been convicted in any criminal proceeding (excluding traffic
violations or similar misdemeanors), and none of the persons or the entities
named in this Item 2 has been a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction resulting in its or his being
subject to a judgment, decree or final order enjoining future violations of, or
prohibiting or mandating activities subject to, federal or state securities
laws, or finding any violations with respect to such laws.
Because of certain business and family relationships among the
Reporting Persons, they are filing as if they constitute a group solely for
informational purposes. By signing this statement, each Reporting Person agrees
that this Statement is filed on its, his or her behalf. The filing of this
statement is not an admission by any Reporting Person that such Reporting Person
and any other Reporting Person or Reporting 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. Each Reporting Person disclaims beneficial ownership
of, or pecuniary interest in, any shares of Common Stock owned by any other
Reporting Person, except to the extent that beneficial ownership or pecuniary
interest is expressly reported herein.
Page 24 of 33 pages
<PAGE>
- ------------------------- -------------------------
CUSIP No. 64124E 10 6 Page 25 of 33 Pages
- ------------------------- -------------------------
Item 3. Source and Amount of Funds or Other Consideration.
The source and amount of funds or other consideration used to purchase the
securities acquired by the Reporting Persons during February 2000 was as
follows:
Aggregate
Reporting Person Source of Funds Purchase Price
---------------- --------------- --------------
Baker-Tisch Investments Working capital $1,774,647.52
Baker Bros. Investments Working capital $1,774,647.52
Item 5. Interest in Securities of the Issuer.
The following transactions were effected by the Reporting Persons
during the sixty days preceding the date hereof. None of the Reporting Persons
above effected any other transactions in the Common Stock during the 60 days
preceding the date hereof.
Transaction Market Date Security No. Price/Share
- ----------- ------ ------- --------- ---------- ------------
Purchase NASDAQ 2/9/00 Common 35,500 (1) $25.4472
Purchase NASDAQ 2/10/00 Common 14,200 (2) $28.0757
Purchase NASDAQ 2/16/00 Common 65,000 (3) $34.5577
(1) Includes 17,750 shares purchased by Baker-Tisch Investments and
17,750 shares purchased by Baker Bros. Investments.
(2) Includes 7,100 shares purchased by Baker-Tisch Investments and
7,100 shares purchased by Baker Bros. Investments.
(3) Includes 32,500 shares purchased by Baker-Tisch Investments and
32,500 shares purchased by Baker Bros. Investments.
Set forth in the table below is the aggregate number of shares of
Common Stock beneficially owned as of the date hereof by each Reporting Person,
together with the percentage of outstanding shares of Common Stock which is
beneficially owned by each such person or entity.
Page 25 of 33 pages
<PAGE>
- ------------------------- -------------------------
CUSIP No. 64124E 10 6 Page 26 of 33 Pages
- ------------------------- -------------------------
Name of Amount and Nature of % of Class
Beneficial Owner Beneficial Ownership Outstanding
Four Partners 488,800 3.3%
Four-Fourteen Partners 300,000 2.0%
Andrew Tisch GRAT II 346,940 2.3%
Daniel Tisch GRAT II 346,940 2.3%
James Tisch GRAT II 346,940 2.3%
Thomas Tisch GRAT II 346,940 2.3%
Andrew Tisch GRAT VI 111,943 0.8%
Daniel Tisch GRAT VI 111,943 0.8%
James Tisch GRAT VI 111,943 0.8%
Thomas Tisch GRAT VI 111,943 0.8%
Andrew Tisch 2000 GRAT IV 88,242 0.6%
Daniel Tisch 2000 GRAT IV 88,242 0.6%
James Tisch 2000 GRAT IV 88,242 0.6%
Thomas Tisch 2000 GRAT IV 88,242 0.6%
Baker-Tisch Investments, LLC 57,350 0.4%
Baker Bros. Investments LLC 57,350 0.4%
Julian C. Baker 209,400 (2) 1.4%
Felix J. Baker 197,892 (2) 1.3%
Total 3,211,392 21.7%
(1) The ownership percentages set forth in the table above are based on
14,773,555 shares of Common Stock outstanding as of November 15, 1999,
which information was reported on the Issuer's Form 10-Q for the fiscal
quarter ended September 30, 1999.
(2) Julian C. Baker owns 16,200 shares of Common Stock individually, Felix J.
Baker owns 4,692 shares of Common Stock individually and Julian C. Baker
and Felix J. Baker own 58,500 shares of Common Stock jointly through a
general partnership in which they are the sole partners. Julian C. Baker
and Felix J. Baker also have shared power to vote or direct the vote and to
dispose or direct the disposition of 57,350 shares owned directly by Baker-
Tisch Investments and 57,350 shares owned directly by Baker Bros.
Investments and therefore may be deemed to have shared beneficial ownership
of those shares. On May 26, 1999, Julian C. Baker and Felix J. Baker were
each granted options to acquire 20,000 shares of Common Stock pursuant to
the Neurogen Corporation 1993 Non-Employee Director Stock Option Program.
The options vest in thirty-six equal monthly installments beginning May 26,
1999. Julian C. Baker and Felix J. Baker are herein reporting beneficial
ownership of all shares issuable upon exercise of such options. The
ownership percentages for Julian C. Baker and Felix J. Baker and the total
ownership percentages have been calculated as though the shares issuable
upon exercise of these options were outstanding.
Each person listed above has sole power to vote or direct the vote and
sole power to dispose or direct the disposition of the shares listed after its,
his or her name, except as follows:
(1) By virtue of their status as trustees of the respective GRATs, each of
Andrew H. Tisch, Daniel R. Tisch, James S. Tisch and Thomas J. Tisch
may be deemed to beneficially own shares owned by those GRATs of which
he is trustee and may be deemed to have power to vote or direct the
vote and dispose or direct the disposition of those shares.
Page 26 of 33 pages
<PAGE>
- ------------------------- -------------------------
CUSIP No. 64124E 10 6 Page 27 of 33 Pages
- ------------------------- -------------------------
(2) By virtue of their status as managing trustees of the trusts which are
the general partners of Four Partners ("FP"), Andrew H. Tisch, Daniel
R. Tisch, James S. Tisch and Thomas J. Tisch may be deemed to have
shared beneficial ownership of shares owned by FP and shared power to
vote or direct the vote of and to dispose or direct the disposition of
those shares.
(3) By virtue of their status as trustees of the trusts which are members
of Four-Fourteen Partners ("4-14P"), partners of the partnerships that
are members of 4-14P and partners of the partnerships that are
partners of the partnerships that are members of 4-14P, Andrew H.
Tisch, Daniel R. Tisch, James S. Tisch and Thomas J. Tisch may be
deemed to have shared beneficial ownership of shares owned by 4-14P
and shared power to vote or direct the vote of and to dispose or
direct the disposition of those shares.
(4) By virtue of his status as manager of FP and 4-14P, Thomas J. Tisch
may be deemed the beneficial owner of the shares owned by FP and 4-14P
and to have power to vote or direct the vote and to dispose or direct
the disposition of those shares.
(5) Julian C. Baker and Felix J. Baker each share the power to vote or
direct the vote and dispose or direct the disposition of 58,500 shares
owned jointly through a general partnership of which they are the sole
partners (see Note 2 to preceding table). Julian C. Baker and Felix J.
Baker have shared power to vote or direct the vote and dispose or
direct the disposition of the securities owned by Baker-Tisch
Investments and Baker Bros. Investments.
Item 7. Material to be filed as Exhibits.
Exhibit 1. Agreement regarding the joint filing of this statement.
Page 27 of 33 pages
<PAGE>
- ------------------------- -------------------------
CUSIP No. 64124E 10 6 Page 28 of 33 Pages
- ------------------------- -------------------------
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
hereby certify that the information set forth in this statement is true,
complete and correct.
March , 2000 FOUR PARTNERS
By /s/ Thomas J. Tisch
-------------------------------
Thomas J. Tisch, Manager
FOUR-FOURTEEN PARTNERS, LLC
By /s/ Thomas J. Tisch
-------------------------------
Thomas J. Tisch, Manager
BAKER-TISCH INVESTMENTS, LLC
By /s/ Julian C. Baker
-------------------------------
Julian C. Baker, 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
Page 28 of 33 pages
<PAGE>
- ------------------------- -------------------------
CUSIP No. 64124E 10 6 Page 29 of 33 Pages
- ------------------------- -------------------------
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
Page 29 of 33 pages
<PAGE>
- ------------------------- -------------------------
CUSIP No. 64124E 10 6 Page 30 of 33 Pages
- ------------------------- -------------------------
THE ANDREW H. TISCH 2000
ANNUITY TRUST IV
By /s/ Daniel R. Tisch
--------------------------------
Daniel R. Tisch, Trustee
THE DANIEL R. TISCH 2000
ANNUITY TRUST IV
By /s/ James S. Tisch
--------------------------------
James S. Tisch, Trustee
THE JAMES S. TISCH 2000
ANNUITY TRUST IV
By /s/ Thomas J. Tisch
--------------------------------
Thomas J. Tisch, Trustee
THE THOMAS J. TISCH 2000
ANNUITY TRUST IV
By /s/ Andrew H. Tisch
--------------------------------
Andrew H. Tisch, Trustee
BAKER BROS. INVESTMENTS, LLC
By /s/ Julian C. Baker
--------------------------------
Julian C. Baker, Manager
/s/ Julian C. Baker
------------------------
Julian C. Baker
/s/ Felix J. Baker
------------------------
Felix J. Baker
Page 30 of 33 pages
<PAGE>
- ------------------------- -------------------------
CUSIP No. 64124E 10 6 Page 31 of 33 Pages
- ------------------------- -------------------------
AGREEMENT
In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act
of 1934, as amended, the undersigned hereby agree that this Amendment to
Schedule 13D dated March , 2000 relating to the Common Stock, $0.025 par value
per share, of Neurogen Corporation, as the same may be amended from time to time
hereafter, is being filed with the Securities and Exchange Commission on behalf
of each of them.
March , 2000 FOUR PARTNERS
By /s/ Thomas J. Tisch
-------------------------------
Thomas J. Tisch, Manager
FOUR-FOURTEEN PARTNERS, LLC
By /s/ Thomas J. Tisch
-------------------------------
Thomas J. Tisch, Manager
BAKER-TISCH INVESTMENTS, LLC
By /s/ Julian C. Baker
-------------------------------
Julian C. Baker, 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
Page 31 of 33 pages
<PAGE>
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CUSIP No. 64124E 10 6 Page 32 of 33 Pages
- ------------------------- -------------------------
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
Page 32 of 33 pages
<PAGE>
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CUSIP No. 64124E 10 6 Page 33 of 33 Pages
- ------------------------- -------------------------
THE ANDREW H. TISCH 2000
ANNUITY TRUST IV
By /s/ Daniel R. Tisch
--------------------------------
Daniel R. Tisch, Trustee
THE DANIEL R. TISCH 2000
ANNUITY TRUST IV
By /s/ James S. Tisch
--------------------------------
James S. Tisch, Trustee
THE JAMES S. TISCH 2000
ANNUITY TRUST IV
By /s/ Thomas J. Tisch
--------------------------------
Thomas J. Tisch, Trustee
THE THOMAS J. TISCH 2000
ANNUITY TRUST IV
By /s/ Andrew H. Tisch
--------------------------------
Andrew H. Tisch, Trustee
BAKER BROS. INVESTMENTS, LLC
By /s/ Julian C. Baker
--------------------------------
Julian C. Baker, Manager
/s/ Julian C. Baker
------------------------
Julian C. Baker
/s/ Felix J. Baker
------------------------
Felix J. Baker
Page 33 of 33 pages
