-----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, UTzCn/v4xv/fEj0a/Q9mx1M9B5jGIOld4fUgOLXrFqa6HFQ7TiHB1iD2TwqJzvaL d3kyxn+SK+nzRa3Kv0B+eg== 0000893838-97-000174.txt : 19971216 0000893838-97-000174.hdr.sgml : 19971216 ACCESSION NUMBER: 0000893838-97-000174 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971215 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: SEC FILE NUMBER: 005-41776 FILM NUMBER: 97738452 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. 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* 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) December 12, 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 5 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 1,408,200 ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY -0- ---------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 1,408,200 ---------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH -0- - -------- -------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,408,200 - -------- -------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| - -------- -------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.8% - -------- -------------------------------------------------------------------- 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 5 Pages - ----------------------------------------------------------------------------- This Amendment No. 3 amends the Schedule 13D filed by Four Partners, a New York general partnership ("FP"), with the Securities and Exchange Commission on April 21, 1997, as amended by Amendment No. 1 filed on June 19, 1997 and Amendment No. 2 filed on August 7, 1997, and relates to the acquisition, subsequent to the filing of Amendment No. 2 to the Schedule 13D, of an additional 275,700 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 $23,851,853. Item 5. Interest in Securities of the Issuer. FP holds 1,408,200 shares, representing 9.8% 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 5 Pages - ----------------------------------------------------------------------------- Name of Amount and Nature of % of Class Beneficial Owner Beneficial Ownership Outstanding (1) - ---------------- -------------------- ----------- Four Partners 1,408,200 9.8% 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 1,408,200 9.8% (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 1,408,200 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 - -------- (1) The Issuer's 10-Q for the fiscal quarter ended September 30, 1997 indicated that 14,390,786 shares of Common Stock were issued and outstanding as of November 13, 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 5 Pages - ----------------------------------------------------------------------------- power to vote or direct the vote and dispose or direct the disposition of the 1,408,200 shares of Common Stock owned by FP. (c) The following transactions were effected by FP during the sixty days preceding the date hereof or since the most recent filing on Schedule 13D, whichever is less. 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 12/09/97 Common 50,000 $13.500 NASDAQ Purchase 12/12/97 Common 121,000 $14.125 NASDAQ 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. December 15, 1997 FOUR PARTNERS By /s/ Thomas J. Tisch Thomas J. Tisch Manager of Four Partners -----END PRIVACY-ENHANCED MESSAGE-----