UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. )*
Neon Therapeutics, Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
64050Y 100
(CUSIP Number)
Alejandro Moreno
c/o Access Industries, Inc.
730 Fifth Avenue, 20th Floor
New York, New York 10019
(212) 247-6400
with copies to:
Matthew E. Kaplan
Debevoise & Plimpton LLP
919 Third Avenue
New York, New York 10022
(212) 909-6000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
June 29, 2018
(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 Rules 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. ☐
CUSIP No. 64050Y 100
1 | NAME OF REPORTING PERSON.
Access Industries Holdings, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
State of Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
2,097,915 shares | ||||
8 | SHARED VOTING POWER
999,998 shares | |||||
9 | SOLE DISPOSITIVE POWER
2,097,915 shares | |||||
10 | SHARED DISPOSITIVE POWER
999,998 shares | |||||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,097,913 shares | |||||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11);
10.99%(1) | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO (Limited Liability Company) |
(1) | All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 28,199,264 shares of Common Stock issued and outstanding, as reported in the Issuers prospectus filed with the Securities and Exchange Commission by the Issuer pursuant to Rule 424(b)(5) on June 28, 2018 (the Prospectus). |
CUSIP No. 64050Y 100
1 | NAME OF REPORTING PERSON.
Access Industries, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
State of Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 shares | ||||
8 | SHARED VOTING POWER
3,097,913 shares | |||||
9 | SOLE DISPOSITIVE POWER
0 shares | |||||
10 | SHARED DISPOSITIVE POWER
3,097,913 shares | |||||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,097,913 shares | |||||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11);
10.99%(1) | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO (Limited Liability Company) |
(1) | All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 28,199,264 shares of Common Stock issued and outstanding, as reported in the Prospectus. |
CUSIP No. 64050Y 100
1 | NAME OF REPORTING PERSON.
Access Industries Management, LLC | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
State of Delaware | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 shares | ||||
8 | SHARED VOTING POWER
3,097,913 shares | |||||
9 | SOLE DISPOSITIVE POWER
0 shares | |||||
10 | SHARED DISPOSITIVE POWER
3,097,913 shares | |||||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,097,913 shares | |||||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11);
10.99%(1) | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO (Limited Liability Company) |
(1) | All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 28,199,264 shares of Common Stock issued and outstanding, as reported in the Prospectus. |
CUSIP No. 64050Y 100
1 | NAME OF REPORTING PERSON.
Clal Biotechnology Industries Ltd. | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS)
WC | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Israel | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
999,998 shares | ||||
8 | SHARED VOTING POWER
0 shares | |||||
9 | SOLE DISPOSITIVE POWER
999,998 shares | |||||
10 | SHARED DISPOSITIVE POWER
0 shares | |||||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
999,998 shares | |||||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
☒(1) | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11);
3.55%(2) | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO |
(1) | Excludes 2,097,915 shares of Common Stock that are owned directly by Access Industries Holdings, LLC. |
(2) | All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 28,199,264 shares of Common Stock issued and outstanding, as reported in the Prospectus. |
CUSIP No. 64050Y 100
1 | NAME OF REPORTING PERSON.
Len Blavatnik | |||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) ☐ (b) ☐
| |||||
3 | SEC USE ONLY
| |||||
4 | SOURCE OF FUNDS (SEE INSTRUCTIONS)
AF | |||||
5 | CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
☐ | |||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America | |||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7 | SOLE VOTING POWER
0 shares | ||||
8 | SHARED VOTING POWER
3,097,913 shares | |||||
9 | SOLE DISPOSITIVE POWER
0 shares | |||||
10 | SHARED DISPOSITIVE POWER
3,097,913 shares | |||||
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,097,913 shares | |||||
12 | CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
☐ | |||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11);
10.99%(1) | |||||
14 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN |
(1) | All percentages of ownership of the Common Stock by Reporting Persons presented in this Statement assume an aggregate of 28,199,264 shares of Common Stock issued and outstanding, as reported in the Prospectus. |
CONTINUATION PAGES TO SCHEDULE 13D
This Schedule 13D is being filed by Access Industries Holdings, LLC (AIH), Access Industries Management, LLC (AIM), Access Industries, LLC (Access LLC), Clal Biotechnology Industries Ltd. (CBI) and Len Blavatnik (collectively, the Reporting Persons, and each, a Reporting Person) to report the acquisition of common stock, $0.001 par value per share (the Common Stock), of Neon Therapeutics, Inc. (the Issuer). As a result of CBIs relationships with the other Reporting Persons, it is possible that CBI may be deemed a member of a group, within the meaning of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934, as amended (the Act), with such other Reporting Persons. CBI is making this filing as a precautionary matter and this filing shall not be deemed an admission that CBI is a member of a group or is subject to the reporting requirements of Section 13 of the Act.
Item 1 Security and Issuer
This Schedule 13D relates to the Common Stock of the Issuer. The address of the Issuers principal executive office is: 40 Erie St., Suite 110, Cambridge, MA 02139.
Item 2 Identity and Background
Name |
Address of Business/Principal Office |
Principal Business/Occupation |
Jurisdiction of Organization/Citizenship | |||
Access Industries Holdings LLC | c/o Access Industries, Inc. 730 Fifth Avenue New York, NY 10019 |
Holding strategic investments in a variety of industries worldwide | Delaware | |||
Access Industries, LLC | c/o Access Industries, Inc. 730 Fifth Avenue New York, NY 10019 |
Holding strategic investments in a variety of industries worldwide | Delaware | |||
Access Industries Management, LLC | c/o Access Industries, Inc. 730 Fifth Avenue New York, NY 10019 |
Manager of holdings of strategic investments in a variety of industries worldwide | Delaware | |||
Clal Biotechnology Industries Ltd. | 3 Azrieli Center Triangle Tower, 45 Floor Tel Aviv, L3 67023 |
Investing in life sciences companies and ventures | Israel | |||
Len Blavatnik | c/o Access Industries, Inc. 730 Fifth Avenue New York, NY 10019 |
Chairman of Access Industries, Inc., the principal business of which is holding strategic investments in a variety of industries worldwide | United States of America |
The agreement among the Reporting Persons relating to the joint filing of this Schedule 13D is filed as Exhibit 99.3 hereto.
None of the Reporting Persons, or to the knowledge of the Reporting Persons, any person listed on Annex A hereto, has, during the last five years: (i) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors); or (ii) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is 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 violation with respect to such laws.
Please see Annex A for information regarding the directors and executive officers of CBI.
As a result of CBIs relationships with the other Reporting Persons, it is possible that CBI may be deemed a member of a group, within the meaning of Rule 13d-5(b)(1) under Act, with such other Reporting Persons. CBI is making this filing as a precautionary matter and this filing shall not be deemed an admission that CBI is a member of a group or is subject to the reporting requirements of Section 13 of the Act.
Item 3 Source and Amount of Funds or Other Considerations
Between August 2015 and November 2016, AIH and CBI each acquired 5,000,000 shares of Series A preferred convertible stock (Series A Preferred Stock) of the Issuer at a price of $1.00 per share. AIH funded these purchases using capital contributed from affiliated entities, which funded that capital using cash on hand. CBI funded these purchases using cash on hand. Each share of Series A Preferred Stock converted into shares of Common Stock on approximately a 5:1 basis on June 29, 2018 in connection with the consummation of the initial public offering of the Issuer. In connection with the conversion, fractional shares of Common Stock were cash settled at a value of $16.00 per share. AIH and CBI will each receive $32.00 for the cash settlement of an aggregate of 2 fractional shares of Common Stock.
Between December 2016 and December 2017, AIH acquired 3,914,590 shares of Series B preferred convertible stock (Series B Preferred Stock) of the Issuer at a price of $2.81 per share. AIH funded these purchases using capital contributed from affiliated entities, which funded that capital using cash on hand. Each share of Series B Preferred Stock converted into shares of Common Stock on approximately a 5:1 basis on June 29, 2018 in connection with the consummation of the initial public offering of the Issuer. In connection with the conversion, fractional shares of Common Stock were cash settled at a value of $16.00 per share. AIH will receive $16.00 for the cash settlement of an aggregate of 1 fractional share of Common Stock.
On June 29, 2018, AIH acquired 315,000 shares of Common Stock in the Issuers initial public offering at a price of $16.00 per share. AIH funded this purchase using capital contributed from affiliated entities, which funded that capital using cash on hand.
Item 4 Purpose of Transaction
The Reporting Persons who hold Common Stock directly acquired those shares as an investment in the regular course of their businesses. The Reporting Persons may engage in discussions with management, the Issuers board of directors, other stockholders of the Issuer and other relevant parties concerning the business, operations, board composition, management, strategy and future plans of the Issuer. Julian Adams, Scientific Advisor to CBI, currently serves on the Issuers board of directors. The Reporting Persons intend to re-examine their investment from time to time and, depending on prevailing market conditions, other investment opportunities, liquidity requirements or other investment considerations the Reporting Persons deem material, the Reporting Persons may from time to time acquire additional Common Stock in the open market, block trades, negotiated transactions, or otherwise. The Reporting Persons may also dispose of all or a portion of the Issuers securities, in open market or privately negotiated transactions, and/or enter into derivative transactions with institutional counterparties with respect to the Issuers Common Stock, in each case, subject to limitations under applicable law and the Lock-Up Agreement (as defined below).
The Reporting Persons have not yet determined which, if any, of the above courses of action they may ultimately take. The Reporting Persons future actions with regard to the Issuer are dependent on their evaluation of the factors listed above, circumstances affecting the Issuer in the future, including prospects of the Issuer, general market and economic conditions and other factors deemed relevant. The Reporting Persons reserve the right to determine in the future whether to change the purpose or purposes described above or whether to adopt plans or proposals of the type specified above or otherwise.
Except as set forth above, the Reporting Persons have no plans or proposals with respect to the Issuer.
Item 5 Interest in Securities of the Issuer
(a) and (b) The responses of each of the Reporting Persons with respect to Rows 11, 12, and 13 of the cover pages of this Schedule 13D that relate to the aggregate number and percentage of common stock (including but not limited to footnotes to such information) are incorporated herein by reference.
The responses of each of the Reporting Persons with respect to Rows 7, 8, 9, and 10 of the cover pages of this Schedule 13D that relate to the number of common stock as to which each of the persons or entities referenced in Item 2 above has sole or shared power to vote or to direct the vote of and sole or shared power to dispose of or to direct the disposition of (including but not limited to footnotes to such information) are incorporated herein by reference.
2,095,415 shares of Common Stock are owned directly by AIH and may be deemed to be beneficially owned by Access LLC, AIM and Len Blavatnik because (i) Access LLC holds a majority of the outstanding voting interests in AIH, (ii) AIM controls Access LLC and AIH, and (iii) Len Blavatnik controls AIM and Access LLC. Each of the Reporting Persons (other than AIH), and each of their affiliated entities and the officers, partners, members and managers thereof, disclaims beneficial ownership of these securities.
999,998 shares of Common Stock are owned directly by CBI. CBI is a publicly traded company traded on the Tel Aviv Stock Exchange. Each of AIH, Access LLC, AIM and Mr. Blavatnik may be deemed to share voting and investment power over the ordinary shares owned directly by CBI Industries because (i) Len Blavatnik controls AIM, AIH, Access LLC and AI International GP Limited (the general partner of AI SMS, as defined below), (ii) Access LLC holds a majority of the outstanding voting interests in AIH, (iii) AIM controls Access LLC and AIH, (iv) AIH owns a majority of the equity of AI SMS L.P. (AI SMS), (v) AI SMS controls AI Diversified Holdings Ltd. (Holdings Limited), (vi) Holdings Limited owns AI Diversified Parent S.à r.l., which owns AI Diversified Holdings S.à r.l., which owns Access AI Ltd (Access AI); (vii) Access AI wholly owns Clal Industries Ltd. (CI); and (viii) CI is the controlling shareholder of CBI. Each of the Reporting Persons (other than CBI), and each of their affiliated entities and the officers, partners, members and managers thereof, disclaims beneficial ownership of these securities.
(c) The following transactions in the Issuers securities have been effected by Reporting Persons within the 60 days prior to this filing:
On June 28, 2018, AIH purchased 315,000 shares of Common Stock at $16.00 per share from the underwriters in the Issuers public offering of Common Stock pursuant to the Issuers prospectus filed with the Securities and Exchange Commission by the Issuer pursuant to Rule 424(b)(5) on June 28, 2018.
(d) Not applicable.
(e) Not applicable.
Item 6 Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
Investors Rights Agreement
The Issuer is party to an Amended and Restated Investors Rights Agreement, dated December 26, 2016 (the Investors Rights Agreement), with holders of the Issuers preferred stock, including the Reporting Persons, certain of the Issuers stockholders and certain entities affiliated with the Issuers directors. The Investors Rights Agreement grants to the Reporting Persons, and their respective permitted transferees, customary demand registration rights and piggyback registration rights, in each case subject to customary terms and conditions.
The foregoing description of the Investors Rights Agreement does not purport to be complete and is qualified in its entirety by reference to the Investors Rights Agreement, which is filed as an exhibit and incorporated herein by reference.
Lock Up Agreement
AIH and CBI each signed a lock-up letter agreement (the Lock-Up Agreement) under which it agreed, subject to certain exceptions, that, without the prior written waiver of Morgan Stanley & Co. LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated, it will not, during the period ending 180 days after June 26, 2018, offer, sell, contract to sell, pledge, grant any option to purchase, make any short sale or otherwise dispose of any shares of Common Stock, or any options or warrants to purchase any shares of Common Stock, or any securities convertible into, exchangeable for or that represent the right to receive shares of Common Stock.
The foregoing description of the Lock-Up Agreement does not purport to be complete and is qualified in its entirety by reference to the Lock-Up Agreement, which is filed as an exhibit and incorporated herein by reference.
Item 7 Materials to Be Filed as Exhibits
Exhibit | Description | |
99.1 | Amended and Restated Investors Rights Agreement, dated as of December 28, 2016, among Neon Therapeutics and certain of its stockholders (incorporated herein by reference to Exhibit 4.1 to the registration statement on Form S-1 (file number 333-225330) filed with the Securities and Exchange Commission on May 31, 2018 by Neon Therapeutics, Inc.). | |
99.2 | Form of Lock-up Letter Agreement, entered into by Access Industries Holdings, LLC and Clal Biotechnology Industries Ltd. (incorporated herein by reference to Exhibit A of Exhibit 1.1 to the registration statement on Form S-1 (file number 333-225330) filed with the Securities and Exchange Commission on May 31, 2018 by Neon Therapeutics, Inc.). | |
99.3 | Joint Filing Agreement, dated as of July 9, 2018. | |
99.4 | Limited Power of Attorney. |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: July 9, 2018
ACCESS INDUSTRIES HOLDINGS, LLC | /s/ Alejandro Moreno Alejandro Moreno | |
ACCESS INDUSTRIES MANAGEMENT, LLC | /s/ Alejandro Moreno Alejandro Moreno | |
ACCESS INDUSTRIES, LLC | /s/ Alejandro Moreno Alejandro Moreno | |
CLAL BIOTECHNOLOGY INDUSTRIES LTD. | /s/ Ofer Gonen Offer Gonen
/s/ Assaf Segal Assaf Segal | |
*
Len Blavatnik |
* | The undersigned, by signing his name hereto, executes this Schedule 13D pursuant to the Limited Power of Attorney executed on behalf of Mr. Blavatnik and filed herewith. |
By: | /s/ Alejandro Moreno | |
Name: Alejandro Moreno | ||
Attorney-in-Fact |
Annex A
Directors and Officers of Clal Biotechnology Industries Ltd.
Name |
Principal Business/ Occupation |
Citizenship | ||
Ofer Gonen |
Chief Executive Officer of CBI | Israel | ||
Ofer Goldberg |
Vice President of CBI | Israel | ||
Assaf Segal |
Chief Financial Officer of CBI | Israel | ||
Avi Fischer |
Chairman of CBI; Chairman and Chief Executive Officer of Clal Industries Ltd., the controlling shareholder of CBI; Chairman of Claltech Investments (2016) LLP; Co-Chairman and general partner of Infinity Israel-China Fund Partners Ltd.; Chairman of Mashav Initiating and Development Ltd.; Chairman of Clal Sun Ltd. | Israel | ||
Yuval Yanai |
Consulting and accompanying medical firms at Yuval Yanai Consulting and Management Ltd. | Israel | ||
Prof. Gabi Barabash |
Chairman of Nara Medical Center Ltd. | Israel | ||
Isaac Kohlberg |
Senior Associate Provost Chief Technology Development Officer, Harvard University USA | Israel and United States of America | ||
Shmuel Rubinstein |
Consultant for BDO Ziv Hafts High-Tech Division; Consultant for Sol-Gel Technologies Ltd. | Israel | ||
Sigalia Heifetz |
Business consultant | Israel | ||
Nufar Malovani |
Vice President, General Counsel, Corporate Secretary and Human Resources Manager at Clal Industries Ltd. | Israel | ||
Tomer Babai |
Senior analyst at Clal Industries Ltd.; Vice President of Claltech Investments (2016) LLP | Israel |
The address for each director and officer is c/o Clal Biotechnology Industries Ltd., 3 Azrieli Center Triangle Tower, 45 Floor, Tel Aviv, L3 67023, Israel.
Exhibit 99.3
Joint Filing Agreement
The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.
In accordance with Rule 13d-1(k)(1) promulgated under the Securities and Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other on behalf of each of them of such a statement on Schedule 13D (and any amendments thereto) with respect to the Common Stock, par value $0.001, beneficially owned by each of them, of Neon Therapeutics, Inc., a corporation incorporated under the laws of the State of Delaware. This Joint Filing Agreement shall be included as an exhibit to such Schedule 13D.
[Signature Page Follows]
IN WITNESS WHEREOF, the undersigned hereby execute this Joint Filing Agreement as of the 9th day of July, 2018.
ACCESS INDUSTRIES HOLDINGS, LLC | /s/ Alejandro Moreno Alejandro Moreno | |
ACCESS INDUSTRIES MANAGEMENT, LLC | /s/ Alejandro Moreno Alejandro Moreno | |
ACCESS INDUSTRIES, LLC | /s/ Alejandro Moreno Alejandro Moreno | |
CLAL BIOTECHNOLOGY INDUSTRIES LTD. | /s/ Ofer Gonen Offer Gonen
/s/ Assaf Segal Assaf Segal
*
Len Blavatnik |
* | The undersigned, by signing his name hereto, executes this Joint Filing Agreement pursuant to the Limited Power of Attorney executed on behalf of Mr. Blavatnik and filed herewith. |
By: | /s/ Alejandro Moreno | |
Name: Alejandro Moreno | ||
Attorney-in-Fact |
Exhibit 99.4
LIMITED POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and appoints Lincoln Benet and Alejandro Moreno, and each of them individually, the undersigneds true and lawful attorney-in-fact to:
| execute for and on behalf of the undersigned, in the undersigneds capacity as a beneficial owner of Neon Therapeutics (the Company), (i) Forms 3, 4 and 5 and any other forms required to be filed in accordance with Section 16(a) of the Securities Exchange Act of 1934 (the Exchange Act) and the rules thereunder (a Section 16 Form), (ii) all forms and schedules in accordance with Section 13(d) of the Exchange Act and the rules thereunder, including all amendments thereto (a Section 13 Schedule), (iii) a Form ID Application, Passphrase Update Application and/or request to convert from paper only to electronic filer with the US Securities and Exchange Commission and to obtain access codes to file on EDGAR and any other forms required to be filed or submitted in accordance with Regulation S-T promulgated by the United States Securities and Exchange Commission (or any successor provision) in order to file a Section 13 Schedule or a Section 16 Form electronically (a Form ID, and, together with a Section 13 Schedule and Section 16 Form, the Forms and Schedules) and (iv) any Joint Filing Agreement or similar agreement with respect to the filing of any of the Forms or Schedules in (i) through (iii) above; |
| do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Forms and Schedules, complete and execute any amendment or amendments thereto, and timely file such Forms and Schedules with the U.S. Securities and Exchange Commission and any stock exchange or similar authority; and |
| take any other action of any type whatsoever in connection with the foregoing which, in the opinion of each such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by each such attorney-in-fact on behalf of the undersigned pursuant to this Limited Power of Attorney shall be in such form and shall contain such terms and conditions as he may approve in his discretion. |
The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that each such attorney-in-fact, or his substitute or substitutes, shall lawfully do or cause to be done by virtue of this Limited Power of Attorney and the rights and powers herein granted.
The undersigned acknowledges that each such attorney-in-fact is serving in such capacity at the request of the undersigned, and is not assuming, nor is the Company assuming, any of the undersigneds responsibilities to comply with Section 13 or Section 16 of the Exchange Act.
The Limited Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file any Forms and Schedules with respect to the undersigneds holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to each such attorney-in-fact.
From and after the date hereof, any Limited Power of Attorney previously granted by the undersigned concerning the subject matter hereof is hereby revoked.
IN WITNESS WHEREOF, the undersigned has executed this Limited Power of Attorney as of June 20, 2018.
LEONARD BLAVATNIK |
/s/ Leonard Blavatnik |