Ming-Fu (alan) Chiang - 26 Mar 2025 Form 4/A - Amendment Insider Report for NEONC TECHNOLOGIES HOLDINGS, INC. (NTHI)

Reporting relationship: Director
Issuer ticker: NTHI
Reported as of: 26 Mar 2025
Net transaction value: -$27,656
SEC form: 4/A - Amendment
Accepted by SEC: 05 Jun 2025, 19:25:44 UTC
Original report date: 28 Mar 2025
Prior SEC filing: 25 Mar 2025
Next SEC filing: 24 Nov 2025
Source filing: View source filing
Reporting owner signature: /s/ Ming-Fu (Alan) Chiang

Key filing fact

Ming-Fu (alan) Chiang filed Form 4/A - Amendment for NEONC TECHNOLOGIES HOLDINGS, INC. (NTHI) on 05 Jun 2025.

Key facts

This page summarizes Ming-Fu (alan) Chiang's Form 4/A - Amendment filing for NEONC TECHNOLOGIES HOLDINGS, INC. (NTHI).
6 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 05 Jun 2025, 19:25.

Change

Previous filing in this sequence was filed on 25 Mar 2025.
Current net transaction value: -$27,656.

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 0002055126 Primary reporting owner

CHIANG MING-FU (ALAN)

Relationship: Director
Address: 23975 SORRENTO PARK, SUITE 205, CALABASAS
Signature: /s/ Ming-Fu (Alan) Chiang
Signature date: 05 Jun 2025

Reported non-derivative transactions

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

NTHI transaction

Common Stock

Award

Transaction value: $0
Shares: +50,000
Change %: +15%
Price: $0.000000
Shares after: 390,216
Date: 26 Mar 2025
Ownership: Direct
Footnotes: F1

NTHI transaction

Common Stock

Other

Transaction value: $0
Shares: -5,994
Change %: -1.8%
Price: $0.000000
Shares after: 324,688
Date: 26 Mar 2025
Ownership: By HCWG LLC
Footnotes: F2, F3, F4

NTHI transaction

Common Stock

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

Transaction value: $1,406,256
Shares: +117,188
Change %: +36%
Price: $12.00
Shares after: 441,876
Date: 26 Mar 2025
Ownership: By HCWG LLC
Footnotes: F5

NTHI transaction

Common Stock

Sale

Transaction value: $1,406,250
Shares: -56,250
Change %: -13%
Price: $25.00
Shares after: 385,626
Date: 26 Mar 2025
Ownership: By HCWG LLC
Footnotes: F6

NTHI transaction

Common Stock

Sale

Transaction value: $27,662
Shares: -1,446
Change %: -0.37%
Price: $19.13
Shares after: 384,180
Date: 26 Mar 2025
Ownership: By HCWG LLC

NTHI holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 29,309
Date: 26 Mar 2025
Ownership: By Orion Biomed Inc.
Footnotes: F7

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: F8

NTHI holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 488,196
Date: 26 Mar 2025
Ownership: See footnote 9.
Footnotes: F9

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: -117,188
Change %: -100%
Price: $0.000000
Shares after: 0
Date: 26 Mar 2025
Ownership: By HCWG LLC
Underlying class: Common Stock
Underlying amount: 117,188
Exercise price: $12.00
Footnotes: F10

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

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 10 footnotes

Footnote F1

Grant of 50,000 shares of restricted common stock (the "Shares") pursuant to Issuer's 2023 Equity Incentive Plan. The Shares vest 100% seven months after the effective date of Issuer's initial listing.

Footnote F2

Transfer of shares of common stock held by HCWG LLC ("HCWG") pursuant to agreement. The shares reported herein represent only Reporting Person's percentage interest in HCWG LLC. See also footnote 4.

Footnote F3

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

Footnote F4

Such shares are held by virtue of beneficial ownership of HCWG. The shares represent only Reporting Person's 37.5% interest in HCWG.

Footnote F5

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 F6

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 56,250 warrant shares to pay the exercise price.

Footnote F7

Shares held by Orion Biotech Inc. ("Orion"). Orion is owned in part by Reporting Person, who disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.

Footnote F8

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 F9

Shares held by certain members of Reporting Person's family. Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest, if any, therein.

Footnote F10

Not applicable.

SEC remarks

This Form 4 Amendment is being filed to clarify that the sale of shares referenced in Row 4 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 6.