-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WwfEGw5hcln9yYNPN7/FshJlPPPKYYEhPWj6QFa5gqItSgdwuN6CWoJkrfGAIgIM PI2iGUHzuMXWtZWMDfMBxA== 0000891836-01-500171.txt : 20010712 0000891836-01-500171.hdr.sgml : 20010712 ACCESSION NUMBER: 0000891836-01-500171 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010711 GROUP MEMBERS: ANDREW H. TISCH GROUP MEMBERS: DANIEL R. TISCH GROUP MEMBERS: FELIX J. BAKER GROUP MEMBERS: JAMES S. TISCH GROUP MEMBERS: JULIAN C. BAKER GROUP MEMBERS: THOMAS J. TISCH GROUP MEMBERS: TISCH THOMAS J SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEUROGEN CORP CENTRAL INDEX KEY: 0000849043 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 222845714 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-41776 FILM NUMBER: 1678755 BUSINESS ADDRESS: STREET 1: 35 NORTHEAST INDUSTRIAL RD CITY: BRANFORD STATE: CT ZIP: 06405 BUSINESS PHONE: 2034888201 MAIL ADDRESS: STREET 1: 35 NORTHEAST INDUSTRIAL RD CITY: BRANFORD STATE: CT ZIP: 06405 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TISCH THOMAS J CENTRAL INDEX KEY: 0001081916 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O B.L. BLOOM STREET 2: 667 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 212-545-2930 MAIL ADDRESS: STREET 1: 667 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10021 SC 13D/A 1 sc0080.txt AMENDMENT 7 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ------------------ SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 7)* NEUROGEN CORPORATION -------------------------------------------------------- (NAME OF ISSUER) COMMON STOCK, PAR VALUE $0.025 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) JUNE 30, 2001 -------------------------------------------------------- (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 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 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). SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 64124E106 Page 2 of 15 Pages --------- - -------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Andrew H. Tisch - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a): [ ] (b): [x] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- SOURCE OF FUNDS* 4 WC - -------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED 5 PURSUANT TO ITEM 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 259,258 NUMBER OF ------------------------------------------------------------- SHARES SHARED VOTING POWER BENEFICIALLY 8 776,667 OWNED BY EACH ------------------------------------------------------------- REPORTING SOLE DISPOSITIVE POWER PERSON WITH 9 259,258 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 10 776,667 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,035,925 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES 12 CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 6.0% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 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. SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 64124E106 Page 3 of 15 Pages --------- - -------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Daniel R. Tisch - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a): [ ] (b): [x] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- SOURCE OF FUNDS* 4 WC - -------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED 5 PURSUANT TO ITEM 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 Unites States - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 259,258 NUMBER OF ------------------------------------------------------------- SHARES SHARED VOTING POWER BENEFICIALLY 8 776,667 OWNED BY EACH ------------------------------------------------------------- REPORTING SOLE DISPOSITIVE POWER PERSON WITH 9 259,258 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 10 776,667 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,035,925 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES 12 CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 6.0% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 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. SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 64124E106 Page 4 of 15 Pages --------- - -------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) James S. Tisch - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a): [ ] (b): [x] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- SOURCE OF FUNDS* 4 WC - -------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED 5 PURSUANT TO ITEM 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 259,258 NUMBER OF ------------------------------------------------------------- SHARES SHARED VOTING POWER BENEFICIALLY 8 776,667 OWNED BY EACH ------------------------------------------------------------- REPORTING SOLE DISPOSITIVE POWER PERSON WITH 9 259,258 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 10 776,667 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,035,925 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES 12 CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 6.0% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 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. SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 64124E106 Page 5 of 15 Pages --------- - -------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Thomas J. Tisch - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a): [ ] (b): [x] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- SOURCE OF FUNDS* 4 WC - -------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED 5 PURSUANT TO ITEM 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 259,258 NUMBER OF ------------------------------------------------------------- SHARES SHARED VOTING POWER BENEFICIALLY 8 1,076,667 OWNED BY EACH ------------------------------------------------------------- REPORTING SOLE DISPOSITIVE POWER PERSON WITH 9 259,258 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 10 1,076,667 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,335,925 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES 12 CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 7.7% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 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. SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 64124E106 Page 6 of 15 Pages --------- - -------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Preston R. Tisch - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a): [ ] (b): [x] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- SOURCE OF FUNDS* 4 WC - -------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED 5 PURSUANT TO ITEM 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 24,100 NUMBER OF ------------------------------------------------------------- SHARES SHARED VOTING POWER BENEFICIALLY 8 0 OWNED BY EACH ------------------------------------------------------------- REPORTING SOLE DISPOSITIVE POWER PERSON WITH 9 24,100 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 10 0 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 24,100 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES 12 CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 0.1% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 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. SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 64124E106 Page 7 of 15 Pages --------- - -------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Julian C. Baker - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a): [ ] (b): [x] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- SOURCE OF FUNDS* 4 PF - -------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED 5 PURSUANT TO ITEM 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 36,533 NUMBER OF ------------------------------------------------------------- SHARES SHARED VOTING POWER BENEFICIALLY 8 588,400 OWNED BY EACH ------------------------------------------------------------- REPORTING SOLE DISPOSITIVE POWER PERSON WITH 9 36,533 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 10 588,400 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 624,933 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES 12 CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 3.6% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 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. SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 64124E106 Page 8 of 15 Pages --------- - -------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Felix J. Baker - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a): [ ] (b): [x] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- SOURCE OF FUNDS* 4 PF - -------------------------------------------------------------------------------- CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED 5 PURSUANT TO ITEM 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 25,025 NUMBER OF ------------------------------------------------------------- SHARES SHARED VOTING POWER BENEFICIALLY 8 588,400 OWNED BY EACH ------------------------------------------------------------- REPORTING SOLE DISPOSITIVE POWER PERSON WITH 9 25,025 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 10 588,400 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 613,425 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES 12 CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 3.5% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 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. This Amendment No. 7 to Schedule 13D amends and supplements the statement on Schedule 13D previously filed by the Reporting Persons named herein. Except as amended and supplemented herein, the Schedule 13D remains in full force and effect. Item 2. Identity and Background. ------------------------ Item 2 is restated in its entirety to state the following: This statement is being filed by Andrew H. Tisch, Daniel R. Tisch, James S. Tisch, Thomas J. Tisch, Julian C. Baker and Felix J. Baker (the "Reporting Persons"), each of whom is a United States citizen. The business address of Andrew H. Tisch is 667 Madison Avenue, New York, N.Y. 10021. His present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted are as follows: Office of the President and Chairman of the Executive Committee of Loews Corporation (a public company primarily engaged in insurance and tobacco), 667 Madison Avenue, New York, N.Y. 10021. The business address of Daniel R. Tisch is c/o Mentor Partners, L.P., 500 Park Avenue, New York N.Y. 10022. His present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted are as follows: General Partner, Mentor Partners, L.P. (a partnership engaged in investment activities), 500 Park Avenue, New York, N.Y. 10022. The business address of James S. Tisch is 667 Madison Avenue, New York, N.Y. 10021. His present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted are as follows: Office of the President, President and Chief Executive Officer of Loews Corporation (a public company primarily engaged in insurance and tobacco), 667 Madison Avenue, New York, N.Y. 10021. The business address of Thomas J. Tisch is 667 Madison Avenue, New York, N.Y. 10021. His present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted are as follows: Managing Partner of FLF Associates and Manager of Four Partners and 4-14 Partners (entities engaged in investment activities), 667 Madison Avenue, New York, N.Y. 10021. The business address of Preston R. Tisch is 667 Madison Avenue, New York, N.Y. 10021. His present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted are as follows: Co-Chairman of the Board of Directors of Loews Corporation (a public company primarily engaged in insurance and tobacco), 667 Madison Avenue, New York, N.Y. 10021. The business address of Julian C. Baker is 667 Madison Avenue, New York, N.Y. 10021. His present principal occupation or employment is providing investment management services to members of the Tisch family, various entities that are owned by or created for the benefit of members of the Tisch family and various other investment entities. The business address of Felix J. Baker is 667 Madison Avenue, New York, N.Y. 10021. His present principal occupation or employment is providing investment management services to members of the Tisch family, various entities that are owned by or created for the benefit of members of the Tisch family and various other investment entities. Page 9 of 15 During the five years preceding the filing of this statement, none of the Reporting Persons was convicted in a criminal proceeding (excluding traffic violations and similar misdemeanors) or was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which he was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, United States federal or state securities laws or finding any violation with respect to such laws. Because of family and business relationships among the Reporting Persons, they are filing jointly as if they constitute a group solely for informational purposes. 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 or Rule 13d-5 thereunder, and each Reporting Person disclaims beneficial ownership of any shares of Common Stock owned by any other Reporting Person except to the extent that beneficial ownership is expressly reported herein. 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 during June 2001 was as follows: Aggregate Purchaser Source of Funds Purchase Price --------- --------------- -------------- Baker Bros. Investments II, LLC Working capital $ 1,914,702.48 Baker Biotech Fund I, L.P. Working capital $ 822,200.61 Baker/Tisch Investments, LLC Working capital $ 820,281.96 Item 5. Interest in Securities of the Issuer. ------------------------------------- The following transactions were effected during the sixty days preceding the date hereof. Baker Bros. Investments II, LLC made the following purchases of Common Stock on The Nasdaq Stock Market: Date No. Price/Share ---- --- ----------- 6/1/01 16,400 20.0626 6/4/01 5,200 20.9494 6/5/01 30,000 21.8475 6/6/01 4,400 22.4773 6/13/01 3,335 19.6500 6/19/01 5,500 18.9945 6/20/01 25,600 18.9092 Page 10 of 15 Date No. Price/Share ---- --- ----------- 6/21/01 300 20.0100 6/22/01 200 20.1500 6/25/01 2,800 20.1529 Baker Biotech Fund I, L.P. made the following purchases of Common Stock on The Nasdaq Stock Market: Date No. Price/Share ---- --- ----------- 6/6/01 4,400 22.4773 6/13/01 3,330 19.6500 6/19/01 5,500 18.9945 6/20/01 25,600 18.9092 6/21/01 300 20.0100 6/22/01 300 20.1500 6/25/01 2,800 20.1529 Baker/Tisch Investments, LLC made the following purchases of Common Stock on The Nasdaq Stock Market: Date No. Price/Share ---- --- ----------- 6/6/01 4,400 22.4773 6/13/01 3,335 19.6500 6/19/01 5,500 18.9945 6/20/01 25,600 18.9092 6/21/01 300 20.0100 6/22/01 200 20.1500 6/25/01 2,800 20.1529 The Joan H. Tisch 11/14/00 Annuity Trust made the following purchases of Common Stock on The Nasdaq Common Market: Date No. Price/Share ---- --- ----------- 6/15/01 800 18.4050 6/18/01 8,000 19.0281 6/19/01 5,500 18.9945 6/20/01 9,800 18.9092 Set forth in the table below is the aggregate number of shares of Common Stock held as of the date hereof, together with the percentage of outstanding shares of Common Stock, by each such person or entity named below. Page 11 of 15 % of Class Name of Owner Number of Shares Outstanding (1) - ------------- ---------------- --------------- Four Partners 488,800 2.8% Four-Fourteen Partners, LLC 300,000 1.7% Andrew Tisch 1999 GRAT II 261,478 1.5% Daniel Tisch 1999 GRAT II 261,478 1.5% James Tisch 1999 GRAT II 261,478 1.5% Thomas Tisch 1999 GRAT II 261,478 1.5% Andrew Tisch 2000 GRAT IV 26,389 0.2% Daniel Tisch 2000 GRAT IV 26,389 0.2% James Tisch 2000 GRAT IV 26,389 0.2% Thomas Tisch 2000 GRAT IV 26,389 0.2% Andrew H. Tisch 191,120 1.1% Andrew H. Tisch 1995 Issue Trust #1 34,069 0.2% Andrew H. Tisch 1995 Issue Trust #2 34,069 0.2% Daniel R. Tisch 191,120 1.1% Daniel R. Tisch 1999 Trust 68,138 0.4% James S. Tisch 191,120 1.1% James S. Tisch 1995 Issue Trust 68,138 0.4% Thomas J. Tisch 191,120 1.1% Thomas J. Tisch 1994 Issue Trust 68,138 0.4% Baker/Tisch Investments, LLC 150,035 0.9% Baker Bros. Investments, LLC 57,350 0.3% Baker Bros. Investments II, LLC 93,735 0.5% Baker Biotech Fund I, L.P. 228,780 1.3% Joan H. Tisch 11/14/00 Annuity Trust 24,100 0.1% FBB Associates 58,500 0.3% Julian C. Baker 36,533(2) 0.2% Felix J. Baker 25,025(3) 0.1% Total 3,651,358 21.0% (1) The ownership percentages set forth in the table above are based on 17,409,626 shares of Common Stock outstanding as of March 31, 2001, which information was reported on the Issuer's Form 10-Q for the quarter ended March 31, 2001. (2) Includes 16,200 shares of Common Stock and options to purchase 20,333 shares of Common Stock that have vested or will vest within 60 days. (3) Includes 4,692 shares of Common Stock and options to purchase 20,333 shares of Common Stock that have vested or will vest within 60 days. The beneficial owners of the shares listed above are 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 Page 12 of 15 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. (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 his status as manager of Four-Fourteen Partners ("4-14P"), Thomas J. Tisch may be deemed the beneficial owner of the shares owned by 4-14P and to have power to vote or direct the vote and to dispose or direct the disposition of those shares. (4) By virtue of his status as trustee of Andrew H. Tisch 1995 Issue Trust #1 and Andrew H. Tisch 1995 Issue Trust #2, Andrew H. Tisch may be deemed the beneficial owner of the shares owned by those trusts and may be deemed to have power to vote or direct the vote and dispose or direct the disposition of those shares. By virtue of their status as trustees of Daniel R. Tisch 1999 Trust, James S. Tisch 1995 Issue Trust and Thomas J. Tisch 1994 Issue Trust, each of Daniel R. Tisch, James S. Tisch and Thomas J. Tisch, respectively, may be deemed to beneficially own shares owned by the respective trust and may be deemed to have power to vote or direct the vote and dispose or direct the disposition of those shares. (5) By virtue of his status as trustee of Joan H. Tisch 11/14/00 Annuity Trust ("JHT 11/14"), Preston R. Tisch may be deemed to be the beneficial owner of the shares owned by JHT 11/14 and to have the power to vote or direct the vote and to dispose or direct the disposition of those shares. (6) Julian C. Baker and Felix J. Baker, by virtue of their ownership of the entities that have the power to control the investment decisions of Baker/Tisch Investments, LLC, Baker Bros. Investments, LLC, Baker Bros. Investments II, LLC and Baker Biotech Fund I, L.P., may be deemed to beneficially own shares owned by these entities and may be deemed to have shared power to vote or direct the vote and dispose or direct the disposition of those shares. Julian C. Baker and Felix J. Baker are also the sole partners of FBB Associates, a general partnership, and as such, may be deemed to beneficially own shares owned by FBB Associates and may be deemed to have shared power to vote or direct the vote and dispose or direct the disposition of those shares. Item 7. Material to be filed as Exhibits. -------------------------------- Exhibit 1. Agreement regarding the joint filing of this statement. Page 13 of 15 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. July 10, 2001 /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 /s/ Preston R. Tisch -------------------- Preston R. Tisch /s/ Julian C. Baker ------------------- Julian C. Baker /s/ Felix J. Baker ------------------ Felix J. Baker Page 14 of 15 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 July 10, 2001 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. July 10, 2001 /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 /s/ Preston R. Tisch -------------------- Preston R. Tisch /s/ Julian C. Baker ------------------- Julian C. Baker /s/ Felix J. Baker ------------------ Felix J. Baker Page 15 of 15 -----END PRIVACY-ENHANCED MESSAGE-----