-----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, Hv2PEE095VoQ1z3EiOVyvubJfqXizCWs7hUkWKIb5h6wTTUS+le6+bpQEvXpDihC jCAMgG4DPeiK9S3KWSYBUg== 0000893838-99-000076.txt : 19990317 0000893838-99-000076.hdr.sgml : 19990317 ACCESSION NUMBER: 0000893838-99-000076 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990315 FILED AS OF DATE: 19990316 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 SEC ACT: SEC FILE NUMBER: 000-18311 FILM NUMBER: 99566241 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 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 1 FORM 3 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) 3/5/99 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 Persons(s) to Issuer: ___ Director ___ Officer (give title below) _X_ 10% Owner ___ Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 409,625 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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II"); 7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II"); 8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II"); and 3 9. 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"). Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch, 4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and Thomas Tisch GRAT II 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. 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. On March 5, 1999, the following transfers occurred (the "GRAT Transfers"): 1. Four Partners, a New York general partnership ("FP"), distributed all of the 1,638,500 shares of Common Stock it owned in equal shares of 409,625 each to the four trusts that are partners of FP; 2. Each of the four trusts that are partners of FP distributed all of the 409,625 shares of Common Stock that it had received from FP to the Mr. Tisch who is the beneficiary of such trust; 3. Each of the Messrs. Tisch contributed all of the 409,625 shares of Common Stock that he had received to the GRAT for which he is the grantor. As a result of the GRAT Transfers, FP is no longer the beneficial owner of any shares of Common Stock. Beneficial ownership of the shares of Common Stock previously held by FP is herein reported by the Messrs. Tisch and the GRATs. 4 None of the GRAT Transfers 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. 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. [Signatures follow all attachments] 5 Attachment To Form 3 of Thomas J. Tisch in Respect of Neurogen Corporation (NRGN) Date of Event Requiring Statement: 3/5/99 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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II"); 7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II"); 8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II"); and 9. 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"). Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch, 4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and Thomas Tisch GRAT II are referred to herein individually as a "Reporting Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the designated filer for the Reporting Persons. Joint Filer Information 1. Name and Address of Reporting Person: Daniel R. Tisch c/o Mentor Partners, LP 499 Park Avenue New York, NY 10022 6 2. Date of Event Requiring Statement (Month/Day/Year) 3/5/99 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 Persons(s) to Issuer: ___ Director ___ Officer (give title below) _X_ 10% Owner ___ Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 409,625 3. Ownership Form: Direct (D) or Indirect (I) I 7 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 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] 8 Attachment To Form 3 of Thomas J. Tisch in Respect of Neurogen Corporation (NRGN) Date of Event Requiring Statement: 3/5/99 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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II"); 7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II"); 8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II"); and 9. 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"). Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch, 4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and Thomas Tisch GRAT II are referred to herein individually as a "Reporting Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the designated filer for the Reporting Persons. Joint Filer Information 1. Name and Address of Reporting Person: James S. Tisch 667 Madison Avenue New York, NY 10021 9 2. Date of Event Requiring Statement (Month/Day/Year) 3/5/99 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 Persons(s) to Issuer: ___ Director ___ Officer (give title below) _X_ 10% Owner ___ Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 409,625 3. Ownership Form: Direct (D) or Indirect (I) I 10 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 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] 11 Attachment To Form 3 of Thomas J. Tisch in Respect of Neurogen Corporation (NRGN) Date of Event Requiring Statement: 3/5/99 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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II"); 7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II"); 8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II"); and 9. 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"). Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch, 4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and Thomas Tisch GRAT II are referred to herein individually as a "Reporting Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the designated filer for the Reporting Persons. Joint Filer Information 1. Name and Address of Reporting Person: Andrew H. Tisch 667 Madison Avenue New York, NY 10021 12 2. Date of Event Requiring Statement (Month/Day/Year) 3/5/99 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 Persons(s) to Issuer: ___ Director ___ Officer (give title below) _X_ 10% Owner ___ Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 409,625 3. Ownership Form: Direct (D) or Indirect (I) I 13 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 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] 14 Attachment To Form 3 of Thomas J. Tisch in Respect of Neurogen Corporation (NRGN) Date of Event Requiring Statement: 3/5/99 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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II"); 7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II"); 8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II"); and 9. 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"). Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch, 4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and Thomas Tisch GRAT II are referred to herein individually as a "Reporting Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the designated filer for the Reporting Persons. 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 15 2. Date of Event Requiring Statement (Month/Day/Year) 3/5/99 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 Persons(s) to Issuer: ___ Director ___ Officer (give title below) _X_ 10% Owner ___ Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 300,000 3. Ownership Form: Direct (D) or Indirect (I) D 16 4. Nature of Indirect Beneficial Ownership 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 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] 17 Attachment To Form 3 of Thomas J. Tisch in Respect of Neurogen Corporation (NRGN) Date of Event Requiring Statement: 3/5/99 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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II"); 7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II"); 8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II"); and 9. 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"). Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch, 4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and Thomas Tisch GRAT II are referred to herein individually as a "Reporting Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the designated filer for the Reporting Persons. Joint Filer Information 1. Name and Address of Reporting Person: The Thomas J. Tisch 1999 Annuity Trust II c/o Mr. Barry Bloom 665 Madison Avenue New York, NY 10021 18 2. Date of Event Requiring Statement (Month/Day/Year) 3/5/99 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 Persons(s) to Issuer: ___ Director ___ Officer (give title below) _X_ 10% Owner ___ Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 409,625 3. Ownership Form: Direct (D) or Indirect (I) D 19 4. Nature of Indirect Beneficial Ownership 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 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] 20 Attachment To Form 3 of Thomas J. Tisch in Respect of Neurogen Corporation (NRGN) Date of Event Requiring Statement: 3/5/99 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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II"); 7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II"); 8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II"); and 9. 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"). Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch, 4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and Thomas Tisch GRAT II are referred to herein individually as a "Reporting Person" and collectively as the "Reporting Persons." Thomas J. Tisch is the designated filer for the Reporting Persons. Joint Filer Information 1. Name and Address of Reporting Person: The Daniel R. Tisch 1999 Annuity Trust II c/o Mr. Barry Bloom 665 Madison Avenue New York, NY 10021 21 2. Date of Event Requiring Statement (Month/Day/Year) 3/5/99 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 Persons(s) to Issuer: ___ Director ___ Officer (give title below) _X_ 10% Owner ___ Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 409,625 3. Ownership Form: Direct (D) or Indirect (I) D 22 4. Nature of Indirect Beneficial Ownership 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 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] 23 Attachment To Form 3 of Thomas J. Tisch in Respect of Neurogen Corporation (NRGN) Date of Event Requiring Statement: 3/5/99 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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II"); 7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II"); 8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II"); and 9. 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"). Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch, 4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and Thomas Tisch GRAT II are referred to herein individually as a "Reporting Person" and collectively as the "Reporting Persons." Joint Filer Information 1. Name and Address of Reporting Person: The James S. Tisch 1999 Annuity Trust II c/o Thomas J. Tisch 665 Madison Avenue New York, NY 10021 24 2. Date of Event Requiring Statement (Month/Day/Year) 3/5/99 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 Persons(s) to Issuer: ___ Director ___ Officer (give title below) _X_ 10% Owner ___ Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 409,625 3. Ownership Form: Direct (D) or Indirect (I) D 25 4. Nature of Indirect Beneficial Ownership 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 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] 26 Attachment To Form 3 of Thomas J. Tisch in Respect of Neurogen Corporation (NRGN) Date of Event Requiring Statement: 3/5/99 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. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II"); 7. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II"); 8. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II"); and 9. 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"). Thomas J. Tisch, Andrew H. Tisch, Daniel R. Tisch, James S. Tisch, 4-14P, Andrew Tisch GRAT II, Daniel Tisch GRAT II, James Tisch GRAT II, and Thomas Tisch GRAT II are referred to herein individually as a "Reporting Person" and collectively as the "Reporting Persons." Joint Filer Information 1. Name and Address of Reporting Person: The Andrew H. Tisch 1999 Annuity Trust II c/o Mr. Barry Bloom 665 Madison Avenue New York, NY 10021 27 2. Date of Event Requiring Statement (Month/Day/Year) 3/5/99 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 Persons(s) to Issuer: ___ Director ___ Officer (give title below) _X_ 10% Owner ___ Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) 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 409,625 3. Ownership Form: Direct (D) or Indirect (I) D 28 4. Nature of Indirect Beneficial Ownership 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 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] 29 SIGNATURE WITNESS, the signatures of the undersigned this 15th day of March 1999. FOUR-FOURTEEN PARTNERS, LLC 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 THE DANIEL R. TISCH 1999 ANNUITY TRUST II By /s/ James S. Tisch ------------------------------------ James S. Tisch, Trustee 30 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 31 -----END PRIVACY-ENHANCED MESSAGE-----