Thomas C. Chen - 26 Mar 2025 Form 4/A - Amendment Insider Report for NEONC TECHNOLOGIES HOLDINGS, INC. (NTHI)

Reporting relationship: CEO, Director, 10%+ Owner
Issuer ticker: NTHI
Reported as of: 26 Mar 2025
Net transaction value: -$18,799
SEC form: 4/A - Amendment
Accepted by SEC: 05 Jun 2025, 19:05:23 UTC
Original report date: 28 Mar 2025
Prior SEC filing: 25 Mar 2025
Next SEC filing: 19 May 2025
Source filing: View source filing
Reporting owner signature: /S/ THOMAS C CHEN

Key filing fact

Thomas C. Chen filed Form 4/A - Amendment for NEONC TECHNOLOGIES HOLDINGS, INC. (NTHI) on 05 Jun 2025.

Key facts

This page summarizes Thomas C. Chen's Form 4/A - Amendment filing for NEONC TECHNOLOGIES HOLDINGS, INC. (NTHI).
5 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 05 Jun 2025, 19:05.

Change

Previous filing in this sequence was filed on 25 Mar 2025.
Current net transaction value: -$18,799.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4/A - Amendment disclosures.

View source filing

Reporting Owners (1)

CIK 0001998682 Primary reporting owner

CHEN THOMAS C

Relationship: CEO, Director, 10%+ Owner
Address: 23975 SORRENTO PARK, SUITE 205, CALABASAS
Signature: /S/ THOMAS C CHEN
Signature date: 05 Jun 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

NTHI transaction

Common Stock

Other

Transaction value: $0
Shares: -4,076
Change %: -1.8%
Price: $0.000000
Shares after: 220,787
Date: 26 Mar 2025
Ownership: By HCWG LLC.
Footnotes: F1, F2, F3

NTHI transaction

Common Stock

Exercise of in-the-money or at-the-money derivative security

Transaction value: $956,256
Shares: +79,688
Change %: +36%
Price: $12.00
Shares after: 300,475
Date: 26 Mar 2025
Ownership: By HCWG LLC
Footnotes: F4

NTHI transaction

Common Stock

Sale

Transaction value: $956,250
Shares: -38,250
Change %: -13%
Price: $25.00
Shares after: 262,225
Date: 26 Mar 2025
Ownership: By HCWG LLC
Footnotes: F5

NTHI transaction

Common Stock

Sale

Transaction value: $18,805
Shares: -983
Change %: -0.37%
Price: $19.13
Shares after: 261,242
Date: 26 Mar 2025
Ownership: By HCWG LLC

NTHI holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 545,800
Date: 26 Mar 2025
Ownership: See footnote 6.
Footnotes: F6

NTHI holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 888,148
Date: 26 Mar 2025
Ownership: By NeuCen Biomedical Co. Ltd.
Footnotes: F7

NTHI holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 2,833,961
Date: 26 Mar 2025
Ownership: By TR Chen Third Family Limited Partnership.
Footnotes: F8

NTHI holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 93,253
Date: 26 Mar 2025
Ownership: By Tien Duan Chen Trust.
Footnotes: F8

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

NTHI transaction Derivative

Warrant (right to buy)

Exercise of in-the-money or at-the-money derivative security

Transaction value: $0
Shares: -79,688
Change %: -100%
Price: $0.000000
Shares after: 0
Date: 26 Mar 2025
Ownership: By HCWG
Underlying class: Common Stock
Underlying amount: 79,688
Exercise price: $12.00
Footnotes: F9

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 9 footnotes

Footnote F1

Transfer of shares of common stock held by HCWG LLC pursuant to agreement.

Footnote F2

Not applicable. Number of shares transferred was based on a per share value of $18.

Footnote F3

The shares reported herein represent only Reporting Person's percentage interest in HCWG LLC.

Footnote F4

On 3/26/2025, in conjunction with Issuer's initial listing on Nasdaq, HCWG exercised a warrant to purchase 312,500 shares of Issuer's common stock at $12 per share. HCWG paid the exercise price on a cashless basis, resulting in Issuer's withholding 150,000 of the warrant shares to pay the exercise price and issuing to HCWG the remaining 162,500 shares of common stock. Number of shares reported herein as acquired and disposed of by the Reporting Person represents Reporting Person's indirect interest in HCWG.

Footnote F5

In connection with HCWG's cashless exercise of the warrant described herein, Reporting Person paid his proportionate share of the exercise price on a cashless basis. Reporting Person's proportionate withholding from shares issued to HCWG totaled 38,250 warrant shares to pay the exercise price.

Footnote F6

Includes shares of common stock held by certain members of Reporting Person's immediate family of which Reporting Person disclaims beneficial ownership except to the extent of his pecuniary interest, if any, therein.

Footnote F7

Shares held by NeuCen Biomedical Co. Ltd. ("NeuCen"). NeuCen is owned in part by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.

Footnote F8

Shares held by T. R. Chen Third Family Limited Partnership, a NV limited partnership, of which Reporting Person and his spouse are the general partners with sole voting and dispositive power. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.

Footnote F9

Not applicable.

SEC remarks

This Form 4 Amendment is being filed to clarify that the sale of shares referenced in Row 3 of Table I was to the Issuer resulting from the cashless exercise of the warrant and no monetary consideration was received by any party therefor. See footnote 5.