-----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, TD1uvvkMWw1e5Ql5PnUAuCaCqjS+n+zgWfArEMbV/wYefmn2YDTORQHmkFd25hCQ uQ7nDodlxM1zoENuLGFEBg== 0001144204-06-041080.txt : 20061004 0001144204-06-041080.hdr.sgml : 20061004 20061004180849 ACCESSION NUMBER: 0001144204-06-041080 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061002 FILED AS OF DATE: 20061004 DATE AS OF CHANGE: 20061004 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: 061129387 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: 061129388 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 / Tisch Capital (GP), LLC CENTRAL INDEX KEY: 0001244392 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18311 FILM NUMBER: 061129389 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 TISCH CAPITAL GP LLC DATE OF NAME CHANGE: 20030619 4 1 form44341_100406180912-.xml X0202 4 2006-10-02 0 0000849043 NEUROGEN CORP NRGN 0001244392 Baker / Tisch Capital (GP), LLC 667 MADISON AVENUE 17TH FLOOR NEW YORK NY US 10021 1 0 1 0 0001087939 BAKER JULIAN 667 MADISON AVENUE, 17TH FLOOR NEW YORK NY US 10021 1 0 1 0 0001087940 BAKER FELIX 667 MADISON AVENUE, 17TH FLOOR NEW YORK NY US 10021 1 0 1 0 Common Stock 2006-10-02 4 J 0 160934 0 D 210556 I Partnership In addition to Baker Tisch Capital (GP), LLC, this Form 4 is being filed jointly by Felix J. Baker and Julian C. Baker, each of whom has the same business address as Baker Tisch Capital (GP), LLC and may be deemed to have a pecuniary interest in securities owned by it. Felix J. Baker and Julian C. Baker are directors of the Issuer. Because of certain business and family relationships with other security holders of the Issuer, the Reporting Persons are filing solely for informational purposes as if they were members of a group with such security holders. However, the Reporting Persons disclaim that they and any other person or persons in fact 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 they are the beneficial owner of securities owned by such other persons, and each of them declares beneficial ownership of securities reported herein except to the extent of their pecuniary inter est, if any, therein. Pro rata distribution by Baker/Tisch Investments, L.P. to its limited partners. Represents shares owned directly by Baker/Tisch Investments, L.P., a limited partnership of which the sole general partner is Baker Tisch Capital, L.P., a limited partnership of which the sole general partner is Baker Tisch Capital (GP), LLC. Felix J. Baker and Julian C. Baker are controlling members of Baker Tisch Capital (GP), LLC. /s/ Julian C. Baker, as Managing Member of Baker Tisch Capital (GP), LLC 2006-10-04 /s/ Julian C. Baker 2006-10-04 /s/ Felix J. Baker 2006-10-04 -----END PRIVACY-ENHANCED MESSAGE-----