0001104659-18-043855.txt : 20180703
0001104659-18-043855.hdr.sgml : 20180703
20180703162931
ACCESSION NUMBER: 0001104659-18-043855
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180629
FILED AS OF DATE: 20180703
DATE AS OF CHANGE: 20180703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Pfeffer Cary
CENTRAL INDEX KEY: 0001591092
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38551
FILM NUMBER: 18937763
MAIL ADDRESS:
STREET 1: C/O ELEVEN BIOTHERAPEUTICS
STREET 2: 215 FIRST STREET, SUITE 400
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Neon Therapeutics, Inc.
CENTRAL INDEX KEY: 0001694187
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 40 ERIE STREET
STREET 2: SUITE 110
CITY: CAMBRIDGE
STATE: MA
ZIP: 02139
BUSINESS PHONE: 617-337-4701
MAIL ADDRESS:
STREET 1: 40 ERIE STREET
STREET 2: SUITE 110
CITY: CAMBRIDGE
STATE: MA
ZIP: 02139
4
1
a4.xml
4
X0306
4
2018-06-29
0
0001694187
Neon Therapeutics, Inc.
NTGN
0001591092
Pfeffer Cary
C/O THIRD ROCK VENTURES, LLC
29 NEWBURY STREET, 3RD FLOOR
BOSTON
MA
02116
1
0
0
0
Common Stock
2018-06-29
4
C
0
0
A
0
I
See footnote
Common Stock
2018-06-29
4
C
0
0
A
0
I
See footnote
Series A Preferred Stock
2018-06-29
4
C
0
0
D
Common Stock
0
0
I
See footnote
Series B Preferred Stock
2018-06-29
4
C
0
0
D
Common Stock
0
0
I
See footnote
Third Rock Ventures III, L.P. ("TRV III") received 8,999,999 shares of Common Stock of the Issuer upon conversion of 45,000,000 shares of Series A Preferred Stock in connection with the closing of the Issuer's initial public offering.
TRV III received 341,637 shares of Common Stock of the Issuer upon conversion of 1,708,185 shares of Series B Preferred Stock in connection with the closing of the Issuer's initial public offering.
All series of Preferred Stock automatically converted into the Issuer's Common Stock on a 5-for-1 basis upon the closing of the Issuer's initial public offering on June 29, 2018 and had no expiration date.
After the above transaction, TRV III owned 9,399,999 shares of Common Stock of the Issuer.
These shares are directly held by TRV III. The general partner of TRV III is Third Rock Ventures GP III, L.P. ("TRV GP III"). The general partner of TRV GP III is TRV GP III, LLC ("TRV GP III LLC"). The individual managers of TRV GP III LLC are Mark Levin ("Levin"), Kevin Starr ("Starr") and Dr. Robert Tepper ("Tepper"). Each of TRV GP III, TRV GP III LLC, Levin, Starr and Tepper disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares.
After the above transaction, TRV III owned 9,741,636 shares of Common Stock of the Issuer.
/s/ Yasir B. Al-Wakeel, attorney-in-fact for Cary Pfeffer
2018-07-03