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