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)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
<PAGE>
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
547,125
3. Ownership Form: Direct (D) or Indirect (I)
I
4. Nature of Indirect Beneficial Ownership
(See explanation)
Table II - Derivative Securities Beneficially Owned (e.g., puts,calls, warrants,
options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
2
<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. Four Partners, a New York general partnership ("FP");
7. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT
II");
8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT
II");
9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT
II");
3
<PAGE>
10. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT
II"; and collectively with Thomas Tisch GRAT II, Daniel Tisch GRAT II
and James Tisch GRAT II, the "GRATs II");
11. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT
VI");
12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT
VI");
13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT
VI");
14. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT
VI"; and collectively with Thomas Tisch GRAT VI, Daniel Tisch GRAT VI
and James Tisch GRAT VI, the "GRATs VI");
15. The Thomas J. Tisch 2000 Annuity Trust IV ("Thomas Tisch 2000
GRAT IV");
16. The Daniel R. Tisch 2000 Annuity Trust IV ("Daniel Tisch 2000
GRAT IV");
17. The James S. Tisch 2000 Annuity Trust IV ("James Tisch 2000
GRAT IV"); and
18. The Andrew H. Tisch 2000 Annuity Trust IV ("Andrew Tisch 2000
GRAT IV"; and collectively with Thomas Tisch 2000 GRAT IV, Daniel Tisch
2000 GRAT IV and James Tisch 2000 GRAT IV, the "2000 GRATs IV" and
collectively with the GRATs II and the GRATs VI, the "GRATs").
Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch,
4-14P, FP, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT
II, Thomas Tisch GRAT II, Andrew Tisch GRAT VI, Daniel Tisch GRAT VI,
James Tisch GRAT VI, Thomas Tisch GRAT VI, Andrew Tisch 2000 GRAT IV,
Daniel Tisch 2000 GRAT IV, James Tisch 2000 GRAT IV, Thomas Tisch 2000
GRAT IV are referred to herein individually as a "Reporting Person" and
collectively as the "Reporting Persons."
The members of 4-14P are trusts for the benefit of the offspring
of the Messrs. Tisch, partnerships the partners of which are such
trusts and partnerships the partners of which are such partnerships.
The Messrs. Tisch serve as the trustees of such trusts. Thomas J. Tisch
has been appointed the Manager of 4-14P.
The sole partners of FP are Andrew H. Tisch 1991 Trust, for which
Andrew H. Tisch is the managing trustee, Daniel R. Tisch 1991 Trust,
for which
4
<PAGE>
Daniel R. Tisch is the managing trustee, James S. Tisch 1991 Trust, for
which James S. Tisch is the managing trustee, and Thomas J. Tisch 1991
Trust, for which Thomas J. Tisch is the managing trustee. Thomas J.
Tisch has been appointed the Manager of FP.
Each of the GRATs is a grantor retained annuity Trust in which the
grantor holds an annuity interest and in which the remainder interest
was created in favor of a trust or trusts for the grantor's offspring.
Thomas J. Tisch is the grantor and Andrew H. Tisch is the trustee of
Thomas Tisch GRAT II. Daniel R. Tisch is the grantor and James S. Tisch
is the trustee of Daniel Tisch GRAT II. James S. Tisch is the grantor
and Thomas J. Tisch is the trustee of James Tisch GRAT II. Andrew H.
Tisch is the grantor and Daniel R. Tisch is the trustee of Andrew Tisch
GRAT II. Thomas J. Tisch is the grantor and Andrew H. Tisch is the
trustee of Thomas Tisch GRAT VI. Daniel R. Tisch is the grantor and
James S. Tisch is the trustee of Daniel Tisch GRAT VI. James S. Tisch
is the grantor and Thomas J. Tisch is the trustee of James Tisch GRAT
VI. Andrew H. Tisch is the grantor and Daniel R. Tisch is the trustee
of Andrew Tisch GRAT VI. Thomas J. Tisch is the grantor and Andrew H.
Tisch is the trustee of Thomas Tisch 2000 GRAT IV. Daniel R. Tisch is
the grantor and James S. Tisch is the trustee of Daniel Tisch 2000 GRAT
IV. James S. Tisch is the grantor and Thomas J. Tisch is the trustee of
James Tisch 2000 GRAT IV. Andrew H. Tisch is the grantor and Daniel R.
Tisch is the trustee of Andrew Tisch 2000 GRAT IV.
On February 4, 2000, each of the GRATs II distributed 62,685
shares of common stock, $0.025 par value per share of Neurogen
Corporation ("Common Stock") it owned to the respective grantor, who on
February 10, 2000 contributed such Common Stock to the 2000 GRATs IV
for which he is the grantor (the "GRATs II Distributions"). Also, on
February 4, 2000, each of the GRATs VI distributed 25,557 shares of
Common Stock it owned to the respective grantor, who on February 10,
2000 contributed such Common Stock to the 2000 GRATs IV for which he is
the grantor (the "GRATs VI Distributions").
None of the GRATs II Distributions nor the GRATs VI Distributions
was a "sale" for purposes of the Securities Act of 1933, as amended
(the "Securities Act"), or the Securities Exchange Act of 1934, as
amended (the "Exchange Act"), and collectively represented only a
change in the form of beneficial ownership of the shares of Common
Stock and not an actual change in the beneficial ownership of such
shares of Common Stock.
Each of the Messrs. Tisch is herein reporting beneficial ownership
of the shares of Common Stock owned by the GRATs for which he is the
Grantor.
5
<PAGE>
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.
Thomas J. Tisch is the designated filer.
[Signatures follow all attachments]
6
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
Daniel R. Tisch
c/o Mentor Partners, LP
500 Park Avenue
New York, NY 10022
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
__X_ 10% Owner
____ Other (specify below)
______________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
__X_ Form filed by More than One Reporting Person
7
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
547,125
3. Ownership Form: Direct (D) or Indirect (I)
I
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
8
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
9
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
James S. Tisch
667 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
______________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
__X_ Form filed by More than One Reporting Person
10
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
547,125
3. Ownership Form: Direct (D) or Indirect (I)
I
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
Amount or Number of Shares
11
<PAGE>
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
12
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
Andrew H. Tisch
667 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
______________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
__X_ Form filed by More than One Reporting Person
13
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
547,125
3. Ownership Form: Direct (D) or Indirect (I)
I
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
14
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
15
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
Four-Fourteen Partners LLC
c/o Thomas J. Tisch
667 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
______________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
__X_ Form filed by More than One Reporting Person
16
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
300,000
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
17
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
18
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
Four Partners
c/o Thomas J. Tisch
667 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_____________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
__X_ Form filed by More than One Reporting Person
19
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
488,800
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
20
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
21
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The Thomas J. Tisch 1999 Annuity Trust II
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
__X_ Form filed by More than One Reporting Person
22
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
346,940
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
23
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
24
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The Daniel R. Tisch 1999 Annuity Trust II
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
______________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
25
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
346,940
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
26
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
27
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The James S. Tisch 1999 Annuity Trust II
c/o Thomas J. Tisch
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
________________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
28
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
346,940
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
29
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
30
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The Andrew H. Tisch 1999 Annuity Trust II
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
31
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
346,940
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
32
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
33
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The Thomas J. Tisch 1999 Annuity Trust VI
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
________________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
34
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
111,943
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
35
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
36
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The Daniel R. Tisch 1999 Annuity Trust VI
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
37
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
111,943
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
38
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
39
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The James S. Tisch 1999 Annuity Trust VI
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
40
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
111,943
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
41
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
42
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The Andrew H. Tisch 1999 Annuity Trust VI
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
43
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
111,943
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
44
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
45
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The Thomas J. Tisch 2000 Annuity Trust IV
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
______________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
46
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
88,242
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
47
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
48
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The Daniel R. Tisch 2000 Annuity Trust IV
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
__X_ 10% Owner
____ Other (specify below)
____________________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
49
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
88,242
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
50
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
51
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The James S. Tisch 2000 Annuity Trust IV
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
________________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
52
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
88,242
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
53
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
54
<PAGE>
Attachment To Form 3 of Thomas J. Tisch
in Respect of Neurogen Corporation (NRGN)
Date of Event Requiring Statement: 02/10/00
Joint Filer Information
1. Name and Address of Reporting Person:
The Andrew H. Tisch 2000 Annuity Trust IV
c/o Mr. Barry Bloom
655 Madison Avenue
New York, NY 10021
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/00
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 Person(s) to Issuer:
____ Director
____ Officer (give title below)
_X__ 10% Owner
____ Other (specify below)
_______________________
6. If Amendment, Date of Original (Month/Day/Year)
03/16/99
7. Individual or Joint/Group Filing (Check Applicable Line)
____ Form filed by One Reporting Person
_X__ Form filed by More than One Reporting Person
55
<PAGE>
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
Common Stock, $0.025 par value
2. Amount of Securities Beneficially Owned
88,242
3. Ownership Form: Direct (D) or Indirect (I)
D
4. Nature of Indirect Beneficial Ownership
(See explanation to Form 3 of Thomas J. Tisch)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls,
warrants, options, convertible securities)
1. Title of Derivative Security
2. Date Exercisable and Expiration Date (Month/Day/Year)
Date Exercisable
Expiration Date
3. Title and Amount of Securities Underlying Derivative Security
Title
56
<PAGE>
Amount or Number of Shares
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
6. Nature of Indirect Beneficial Ownership
[Signatures follow all attachments]
57
<PAGE>
SIGNATURE
WITNESS, the signatures of the undersigned this 23rd day of
February, 2000.
FOUR-FOURTEEN PARTNERS, LLC
By /s/ Thomas J. Tisch
----------------------------------
Thomas J. Tisch, Manager
FOUR PARTNERS
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
58
<PAGE>
THE DANIEL R. TISCH 1999 ANNUITY TRUST II
By /s/ James S. Tisch
----------------------------------
James S. Tisch, Trustee
THE JAMES S. TISCH 1999 ANNUITY TRUST II
By /s/ Thomas J. Tisch
----------------------------------
Thomas J. Tisch, Trustee
THE THOMAS J. TISCH 1999 ANNUITY TRUST II
By /s/ Andrew H. Tisch
----------------------------------
Andrew H. Tisch, Trustee
THE ANDREW H. TISCH 1999 ANNUITY TRUST VI
By /s/ Daniel R. Tisch
----------------------------------
Daniel R. Tisch, Trustee
THE DANIEL R. TISCH 1999 ANNUITY TRUST VI
By /s/ James S. Tisch
----------------------------------
James S. Tisch, Trustee
THE JAMES S. TISCH 1999 ANNUITY TRUST VI
By /s/ Thomas J. Tisch
----------------------------------
Thomas J. Tisch, Trustee
THE THOMAS J. TISCH 1999 ANNUITY TRUST VI
By /s/ Andrew H. Tisch
----------------------------------
Andrew H. Tisch, Trustee
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
59
<PAGE>
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
60
