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

Reporting relationship: COO
Issuer ticker: NTHI
Reported as of: 26 Mar 2025
Net transaction value: -$5,676
SEC form: 4/A - Amendment
Accepted by SEC: 05 Jun 2025, 19:20:31 UTC
Original report date: 28 Mar 2025
Prior SEC filing: 25 Mar 2025
Source filing: View source filing
Reporting owner signature: /S/ PATRICK WALTERS

Key filing fact

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

Key facts

This page summarizes Patrick Walters'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, 19:20.

Change

Previous filing in this sequence was filed on 25 Mar 2025.
Current net transaction value: -$5,676.

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 0001997455 Primary reporting owner

WALTERS PATRICK

Relationship: COO
Address: 23975 SORRENTO PARK, SUITE 205, CALABASAS
Signature: /S/ PATRICK WALTERS
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: -1,231
Change %: -1.8%
Price: $0.000000
Shares after: 66,669
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: $288,756
Shares: +24,063
Change %: +36%
Price: $12.00
Shares after: 90,732
Date: 26 Mar 2025
Ownership: By HCWG LLC
Footnotes: F4

NTHI transaction

Common Stock

Sale

Transaction value: $288,750
Shares: -11,550
Change %: -13%
Price: $25.00
Shares after: 79,182
Date: 26 Mar 2025
Ownership: By HCWG LLC
Footnotes: F5

NTHI transaction

Common Stock

Sale

Transaction value: $5,682
Shares: -297
Change %: -0.38%
Price: $19.13
Shares after: 78,885
Date: 26 Mar 2025
Ownership: By HCWG LLC

NTHI holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 797,488
Date: 26 Mar 2025
Ownership: Direct

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: -24,063
Change %: -100%
Price: $0.000000
Shares after: 0
Date: 26 Mar 2025
Ownership: By HCWG LLC
Underlying class: Common Stock
Underlying amount: 24,063
Exercise price: $12.00
Footnotes: F6

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

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 6 footnotes

Footnote F1

Transfer of shares of common stock held by HCWG LLC ("HCWG") 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 11,550 warrant shares to pay the exercise price.

Footnote F6

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.