-----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, I2L7UfAV9ekpc0q3HFcNU6LgX0z4eC//tKz2V0ID83VRPCrkteegSSGs28YfGgA1 zRetkPB/uLLxAQLs/No8fg== 0000893838-00-000070.txt : 20000225 0000893838-00-000070.hdr.sgml : 20000225 ACCESSION NUMBER: 0000893838-00-000070 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000223 FILED AS OF DATE: 20000224 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: 3/A SEC ACT: SEC FILE NUMBER: 000-18311 FILM NUMBER: 552037 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 COMPANY DATA: COMPANY CONFORMED NAME: TISCH THOMAS J CENTRAL INDEX KEY: 0001081916 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/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 3/A 1 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) _______________________ 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 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 -----END PRIVACY-ENHANCED MESSAGE-----