-----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, Nk34s7896w7uDs2yEyKPPeEDZ78VOkAP0Jo7jiCN1ElXAYtws0VSf11vKujyFHnr ZvIRBRz+qfEHuFZE+Us8jw== 0001144204-06-017324.txt : 20060428 0001144204-06-017324.hdr.sgml : 20060428 20060428151537 ACCESSION NUMBER: 0001144204-06-017324 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20060425 FILED AS OF DATE: 20060428 DATE AS OF CHANGE: 20060428 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAKER FELIX CENTRAL INDEX KEY: 0001087940 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18311 FILM NUMBER: 06789552 BUSINESS ADDRESS: STREET 1: TISCH FAMILY INTERESTS STREET 2: 667 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 2125212420 MAIL ADDRESS: STREET 1: 667 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10021 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAKER JULIAN CENTRAL INDEX KEY: 0001087939 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18311 FILM NUMBER: 06789553 BUSINESS ADDRESS: STREET 1: TISCH FAMILY INTERESTS STREET 2: 667 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 212 521 2418 MAIL ADDRESS: STREET 1: 667 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10021 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baker Biotech Capital II (Z) (GP), LLC CENTRAL INDEX KEY: 0001307726 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18311 FILM NUMBER: 06789554 BUSINESS ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 212 521 2418 MAIL ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baker Biotech Capital II (GP), LLC CENTRAL INDEX KEY: 0001244386 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18311 FILM NUMBER: 06789555 BUSINESS ADDRESS: STREET 1: 667 MADISON AVE 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 212 521 2418 MAIL ADDRESS: STREET 1: 667 MADISON AVE 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 FORMER NAME: FORMER CONFORMED NAME: BAKER BIOTECH CAPITAL II GP LLC DATE OF NAME CHANGE: 20030619 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baker Brothers Life Sciences Capital (GP), LLC CENTRAL INDEX KEY: 0001307729 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18311 FILM NUMBER: 06789556 BUSINESS ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 212 521 2418 MAIL ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 FORMER NAME: FORMER CONFORMED NAME: Baker Biotech Capital III (GP), LLC DATE OF NAME CHANGE: 20041103 4 1 v041469_ex.xml X0202 4 2006-04-25 1 0000849043 NEUROGEN CORP NRGN 0001307729 Baker Brothers Life Sciences Capital (GP), LLC 667 MADISON AVENUE 17TH FLOOR NEW YORK NY 10021 1 0 1 0 0001244386 Baker Biotech Capital II (GP), LLC 667 MADISON AVE 17TH FLOOR NEW YORK NY 10021 0 0 1 0 0001307726 Baker Biotech Capital II (Z) (GP), LLC 667 MADISON AVENUE 17TH FLOOR NEW YORK NY 10021 0 0 1 0 0001087939 BAKER JULIAN 667 MADISON AVENUE 17TH FLOOR NEW YORK NY 10021 1 0 1 0 0001087940 BAKER FELIX 667 MADISON AVENUE 17TH FLOOR NEW YORK NY 10021 1 0 1 0 Common Stock 2006-04-25 4 J 0 2039196 0 D 0 I See Footnote Common Stock 2006-04-25 4 J 0 268465 0 D 0 I See Footnote Common Stock 2006-04-25 4 J 0 2307661 0 A 2307661 I See Footnote See Note 1 in Exhibit 99.1. See Note 2 in Exhibit 99.1. See Note 3 in Exhibit 99.1. See Note 4 in Exhibit 99.1. See Note 5 in Exhibit 99.1. /s/ Julian C. Baker, as Managing Member of Baker Biotech Capital II (GP), LLC 2006-04-28 /s/ Julian C. Baker, as Managing Member of Baker Biotech Capital II (Z) (GP), LLC 2006-04-28 /s/ Julian C. Baker, as Managing Member of Baker Brothers Life Sciences Capital (GP), LLC 2006-04-28 /s/ Julian C. Baker 2006-04-28 /s/ Felix J. Baker 2006-04-27 EX-99.1 2 v041469_ex99-1.txt Explanation of Responses: (1) In addition to Baker Brothers Life Sciences Capital (GP), LLC (formerly known as Baker Biotech Capital III (GP), LLC), this form is being filed jointly by Julian C. Baker, Felix J. Baker, Baker Biotech Capital II (GP), LLC and Baker Biotech Capital II (Z)(GP), LLC, each of whom has the same business address as Baker Brothers Life Sciences Capital (GP), LLC. Each of the reporting persons disclaims beneficial ownership of the securities reported hereon except to the extent of his or its pecuniary interest, if any, therein. (2) On April 25, 2006, Baker Biotech Fund II, L.P., Baker Biotech Fund II (Z), L.P. and Baker Biotech Fund III (Z), L.P. were merged with and into Baker Biotech Fund III, L.P. which changed its name simultaneously therewith to Baker Brothers Life Sciences, L.P. Simultaneously therewith, Baker Biotech Capital II, L.P., Baker Biotech Capital II (Z), L.P., and Baker Biotech Capital III (Z), L.P., the general partners of Baker Biotech Fund II, L.P., Baker Biotech Fund II (Z), L.P. and Baker Biotech Fund III (Z), L.P., respectively, were merged with and into Baker Biotech Capital III, L.P., the general partner of Baker Biotech Fund III, L.P., and Baker Biotech Capital III, L.P. changed its name simultaneously therewith to Baker Brothers Life Sciences Capital, L.P. In addition, simultaneously therewith, Baker Biotech Capital II (GP), LLC, Baker Biotech Capital II (Z)(GP), LLC, and Baker Biotech Capital III (Z)(GP), LLC, the general partners of Baker Biotech Capital II, L.P., Baker Biotech Capital II (Z), L.P., and Baker Biotech Capital III (Z), L.P., respectively, were merged with and into Baker Biotech Capital III (GP), LLC, the general partner of Baker Biotech Capital III, L.P. and Baker Biotech Capital III (GP), LLC changed its name simultaneously therewith to Baker Brothers Life Sciences Capital (GP), LLC. Julian C. Baker and Felix J. Baker are the controlling members of Baker Biotech Capital II (GP), LLC, Baker Biotech Capital II (Z)(GP), LLC, Baker Biotech Capital III (Z)(GP), LLC and Baker Brothers Life Sciences Capital (GP), LLC, and may have a pecuniary interest in shares held by them. Such pecuniary interest, if any, was unchanged as a result of the mergers referred to herein. Julian C. Baker and Felix J. Baker disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any, therein. (3) Represents shares owned directly by Baker Biotech Fund II, L.P., which is no longer subject to Section 16 of the Securities Exchange Act of 1934. (4) Represents shares owned directly by Baker Biotech Fund II (Z), L.P., which is no longer subject to Section 16 of the Securities Exchange Act of 1934. (5) Represents shares owned directly by Baker Brothers Life Sciences, L.P. (formerly known as Baker Biotech Fund III, L.P.). -----END PRIVACY-ENHANCED MESSAGE-----