-----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, N8WCOV9uvmdNzIjqRjDL2ARXHe0G3C/PUKgq1Tk77qpW65Pu6HFkA8S5AWWFaibS 8sr7xmB7Q7GGB9dOnm1/qA== 0000950130-97-004606.txt : 19971027 0000950130-97-004606.hdr.sgml : 19971027 ACCESSION NUMBER: 0000950130-97-004606 CONFORMED SUBMISSION TYPE: 11-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19971024 SROS: NASD FILER: 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: 11-K SEC ACT: SEC FILE NUMBER: 000-18311 FILM NUMBER: 97700184 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 11-K 1 FORM 11-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K [X] ANNUAL REPORT PURSUANT TO SECTION 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO -------- -------- COMMISSION FILE NUMBER 0-18311 NEUROGEN CORPORATION 401 (K) RETIREMENT PLAN -------------------------------------------- FULL TITLE OF PLAN NEUROGEN CORPORATION -------------------- 35 NORTHEAST INDUSTRIAL ROAD BRANFORD, CONNECTICUT 06405 (203) 488-8201 (NAME OF ISSUER OF THE SECURITIES HELD PURSUANT TO THE PLAN) Neurogen Corporation 401(k) Retirement Plan Current Value of Plan Assets and Liabilities
DECEMBER 31, 1996 1995 ---- ---- ASSETS: Cash $ $ - Receivables 18,584 8,225 Investments: U.S. Government securities - - Corporate debt and equity instruments 278,814 212,713 Real estate and mortgages (other than to participants) - - Loans to participants: - - (a) Mortgages - - (b) Other 30,292 32,886 Other (money market and mutual funds) 1,749,243 1,067,984 ---------- ---------- Total investments 2,076,933 1,321,808 Buildings and other property used in plan operations - - Other assets - - ---------- ---------- Total assets 2,076,933 1,321,808 LIABILITIES: Acquisition indebtedness - - Other liabilities - - ---------- ---------- Total liabilities - - ---------- ---------- Plan equity $2,076,933 $1,321,808 ========== ==========
Neurogen Corporation 401(k) Retirement Plan Statement of Income and Changes in Plan Equity
PLAN YEAR ENDED DECEMBER 31, 1996 1995 1994 ---- ---- ---- INCOME Contributions received or receivable in cash from: Employer $ 91,789 $ 48,807 $ 36,306 Employees 464,131 295,958 226,978 Others 52,339 12,328 700 ---------- ---------- -------- Total cash contributions 608,259 357,093 263,984 Noncash contributions - - - Earnings (loss) from investments 168,592 298,378 (9,844) Net realized gain (loss) on sale or exchange of assets - - - Other income - interest repayments 3,068 1,063 613 ---------- ---------- -------- Total income 779,919 656,534 254,753 EXPENSES: Distribution of benefits: Directly to participants and their beneficiaries 14,797 19,126 8,117 Other - - 45 ---------- ---------- -------- Total distribution of benefits 14,797 19,126 8,162 Administrative expenses 9,997 - - Other expenses - - - ---------- ---------- -------- Total expenses 24,794 19,126 8,162 ---------- ---------- -------- Net income 755,125 637,408 246,591 Plan Equity: Beginning of year 1,321,808 684,400 437,809 ---------- ---------- -------- End of year $2,076,933 $1,321,808 $684,400 ========== ========== ========
SIGNATURES ---------- Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the plan) have duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized. Neurogen Corporation 401(k) Plan Administrator: Neurogen Corporation Date: October 23, 1997 By: /s/ Stephen R. Davis --------------------------------------- Stephen R. Davis Vice President and Chief Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----