-----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, SMTBvxGkVb/M065N0XKsqgMKYbD/ubS4dFPRxD+FEUIIXhJaH3ArwZ4W7h5PfPLQ 4HqGs1v0B3RAgVSaSeZoTQ== 0000893838-97-000111.txt : 19970620 0000893838-97-000111.hdr.sgml : 19970620 ACCESSION NUMBER: 0000893838-97-000111 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970619 SROS: NASD SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41776 FILM NUMBER: 97626748 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FOUR PARTNERS CENTRAL INDEX KEY: 0000942714 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 867 MADISON AVENUE STREET 2: C/O B L BLOOM CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 2125452930 SC 13D/A 1 SCHEDULE 13D AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Neurogen Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.025 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 64124E106 - -------------------------------------------------------------------------------- (CUSIP Number) Thomas J. Tisch 667 Madison Avenue New York, NY 10021 (212) 545-2927 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 10, 1997 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box |_| Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP No. 64124E106 Page 2 of 7 Pages - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Four Partners - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 963,000 ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 963,000 ------------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 963,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP NO. 64124E106 13D Page 3 of 7 Pages This Amendment No. 1 amends the Schedule 13D filed by Four Partners, a New York general partnership ("FP"), with the Securities and Exchange Commission on April 21, 1997 and relates to the acquisition, subsequent to the filing of the Schedule 13D, of an additional 191,100 shares of the Common Stock, $.025 par value per share (the "Common Stock"), of Neurogen Corporation (the "Issuer"). Item 3. Source and Amount of Funds or Other Consideration. ------------------------------------------------- All funds used to purchase the securities reported in Item 5 below were provided from the working capital of FP. The aggregate purchase price of such securities was approximately $15,866,890. Item 5. Interest in Securities of the Issuer. ------------------------------------ FP holds 963,000 shares, representing 6.7% of the outstanding shares of Common Stock. (a) Set forth in the table below is the aggregate number of shares of Common Stock beneficially owned as of the date hereof by each person or entity listed in Item 2 above, together with the percentage of outstanding shares of Common Stock which is beneficially owned by each such person or entity. CUSIP NO. 64124E106 13D Page 4 of 7 Pages Name of Amount and Nature of % of Class Beneficial Owner Beneficial Ownership Outstanding (1) - ---------------- -------------------- ----------- Four Partners 963,000 6.7% Andrew H. Tisch 0 (2) 0 1991 Trust Daniel R. Tisch 0 (2) 0 1991 Trust James S. Tisch 0 (2) 0 1991 Trust Thomas J. Tisch 0 (2) 0 1991 Trust Andrew H. Tisch 0 (2) 0 Daniel R. Tisch 0 (2) 0 James S. Tisch 0 (2) 0 Thomas J. Tisch 0 (2) 0 ---------- ---- Total 963,000 6.7% (2) (b) With respect to the persons and entities named in response to paragraph (a) above: (i) FP has directly the sole power to vote or direct the vote and dispose or direct the disposition of the 963,000 shares of Common Stock owned by it; and (ii) By virtue of their status as managing trustees of the trusts which are the general partners of FP, the Messrs. Tisch may be deemed to have indirectly shared power to vote or direct the vote and dispose or direct - ------------------- (1) The Issuer's 10-Q for the fiscal quarter ended March 31, 1997 indicated that 14,338,838 shares of Common Stock were issued and outstanding as of May 15, 1997. (2) Does not include shares owned by FP. None of the Messrs. Tisch beneficially owns any shares of Common Stock, except to the extent that beneficial ownership of shares of Common Stock beneficially owned by FP may be attributed to them. CUSIP NO. 64124E106 13D Page 5 of 7 Pages the disposition of the 963,000 shares of Common Stock owned by FP. (c) The following transactions were effected by FP during the sixty days preceding the date hereof. None of the persons or entities named in Item 2 above effected any other transactions in the Common Stock during the 60 days preceding the date hereof. Transaction Date Security No. Price/Share Market ----------- ---- -------- --- ----------- ------ Purchase 4/28/97 Common 7,500 $13.92 NASDAQ Purchase 4/29/97 Common 4,000 $14.04 NASDAQ Purchase 4/29/97 Common 2,000 $14.00 NASDAQ Purchase 4/30/97 Common 5,000 $14.62 NASDAQ Purchase 4/30/97 Common 3,400 $14.52 NASDAQ Purchase 5/1/97 Common 300 $14.85 NASDAQ Purchase 5/6/97 Common 3,000 $17.85 NASDAQ Purchase 5/6/97 Common 10,000 $17.75 NASDAQ Purchase 5/7/97 Common 9,000 $18.09 NASDAQ Purchase 5/8/97 Common 2,000 $17.79 NASDAQ Purchase 5/9/97 Common 7,000 $17.74 NASDAQ Purchase 5/12/97 Common 2,500 $18.00 NASDAQ Purchase 5/12/97 Common 3,800 $17.79 NASDAQ Purchase 5/13/97 Common 13,000 $18.04 NASDAQ Purchase 5/14/97 Common 10,000 $18.79 NASDAQ Purchase 5/16/97 Common 1,000 $17.91 NASDAQ Purchase 5/19/97 Common 5,000 $17.56 NASDAQ CUSIP NO. 64124E106 13D Page 6 of 7 Pages Transaction Date Security No. Price/Share Market ----------- ---- -------- --- ----------- ------ Purchase 5/20/97 Common 3,000 $16.83 NASDAQ Purchase 5/21/97 Common 1,000 $16.91 NASDAQ Purchase 5/28/97 Common 500 $17.91 NASDAQ Purchase 5/29/97 Common 5,000 $18.75 NASDAQ Purchase 6/2/97 Common 4,600 $19.05 NASDAQ Purchase 6/3/97 Common 1,000 $19.41 NASDAQ Purchase 6/5/97 Common 10,000 $19.28 NASDAQ Purchase 6/6/97 Common 9,300 $19.23 NASDAQ Purchase 6/9/97 Common 4,800 $19.10 NASDAQ Purchase 6/10/97 Common 8,100 $19.26 NASDAQ Purchase 6/10/97 Common 10,000 $19.25 NASDAQ Purchase 6/11/97 Common 15,600 $19.37 NASDAQ Purchase 6/11/97 Common 5,000 $19.37 NASDAQ Purchase 6/12/97 Common 2,300 $19.76 NASDAQ Purchase 6/13/97 Common 4,000 $19.82 NASDAQ Purchase 6/16/97 Common 13,200 $19.88 NASDAQ Purchase 6/17/97 Common 3,200 $19.79 NASDAQ Purchase 6/18/97 Common 2,000 $18.79 NASDAQ CUSIP NO. 64124E106 13D Page 7 of 7 Pages SIGNATURE --------- After reasonable inquiry and to the best of my knowledge and belief, I hereby certify that the information set forth in this statement is true, complete and correct. June 19, 1997 FOUR PARTNERS By /s/ Thomas J. Tisch ---------------------------- Thomas J. Tisch Manager of Four Partners -----END PRIVACY-ENHANCED MESSAGE-----