-----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, WDGFruIdr7RdVJRlRGmyVC0pGlE5piTlXYYI6Nm7MkYN1Z/kgp56k3fDdFpkoiWm Z9JJDyQ5ZpbRPgozG+tnLw== 0000893838-99-000097.txt : 19990413 0000893838-99-000097.hdr.sgml : 19990413 ACCESSION NUMBER: 0000893838-99-000097 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990412 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 13G/A SEC ACT: SEC FILE NUMBER: 005-41776 FILM NUMBER: 99591503 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 13G/A BUSINESS ADDRESS: STREET 1: C/O BARRY L BLOOM STREET 2: 667 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10021 BUSINESS PHONE: 212-545-2930 SC 13G/A 1 AMENDMENT NO. 3 UNITED STATES ------------------------------- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) Neurogen Corporation - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.025 par value - ------------------------------------------------------------------------------- (Title of Class of Securities) 64124E106 - ------------------------------------------------------------------------------- (CUSIP Number) March 31, 1999 - ------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(d) *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 the disclosures provided in a prior cover page. The information required in 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). - ------------------- ------------------- CUSIP No. 64124E106 13G Page 2 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Four Partners - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 181,000 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 181,000 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 181,000 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.2% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* PN - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 3 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Four-Fourteen Partners LLC - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 300,000 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 300,000 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 300,000 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.0% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* OO - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 4 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Andrew H. Tisch - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 547,125 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 547,125 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 547,125 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.7% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 5 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Daniel R. Tisch - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 547,125 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 547,125 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 547,125 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.7% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 6 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) James S. Tisch - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 547,125 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 547,125 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 547,125 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.7% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 7 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Thomas J. Tisch - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 547,125 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 547,125 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 547,125 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.7% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 8 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) The Andrew H. Tisch 1999 Annuity Trust II - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 409,625 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 409,625 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 409,625 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.8% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* OO - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 9 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) The Daniel R. Tisch 1999 Annuity Trust II - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 409,625 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 409,625 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 409,625 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.8% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* OO - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 10 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) The James S. Tisch 1999 Annuity Trust II - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 409,625 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 409,625 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 409,625 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.8% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* OO - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 11 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) The Thomas J. Tisch 1999 Annuity Trust II - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 409,625 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 409,625 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 409,625 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.8% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* OO - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 12 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) The Andrew H. Tisch 1999 Annuity Trust VI - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 137,500 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 137,500 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 137,500 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 .9% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* OO - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 13 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) The Daniel R. Tisch 1999 Annuity Trust VI - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 137,500 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 137,500 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 137,500 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 .9% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* OO - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 14 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) The James S. Tisch 1999 Annuity Trust VI - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 137,500 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 137,500 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 137,500 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 .9% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* OO - ------------ ------------------------------------------------------------------ - ------------------- ------------------- CUSIP No. 64124E106 13G Page 15 of 27 Pages - ------------------- ------------------- - ------------ ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) The Thomas J. Tisch 1999 Annuity Trust VI - ------------ ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------ ------------------------------------------------------------------ 3 SEC USE ONLY - ------------ ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - --------------------------------- ---------- ---------------------------------- 5 SOLE VOTING POWER 137,500 NUMBER OF ---------- ---------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------- ---------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 137,500 ---------- ---------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - --------------------------------- ---------- ---------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 137,500 - ------------ ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |X| - ------------ ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 .9% - ------------ ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* OO - ------------ ------------------------------------------------------------------ Item 1. (a) Name of Issuer Neurogen Corporation (the "Issuer") (b) Address of Issuer's Principal Executive Offices 35 Northeast Industrial Road Branford, Connecticut 06405 Item 2. (a) Name of Persons Filing This Schedule 13G is being filed jointly by the following entities and individuals: 1. Four Partners, a New York general partnership ("FP"); 2. Four-Fourteen Partners, LLC, a Delaware limited liability company ("4-14P"); 3. Andrew H. Tisch; 4. Daniel R. Tisch; 5. James S. Tisch; 6. Thomas J. Tisch (Andrew H. Tisch, Daniel R. Tisch, James S. Tisch and Thomas J. Tisch are referred to collectively as the "Messrs. Tisch"); 7. The Andrew H. Tisch 1999 Annuity Trust II ("Andrew Tisch GRAT II"); 8. The Daniel R. Tisch 1999 Annuity Trust II ("Daniel Tisch GRAT II"); 9. The James S. Tisch 1999 Annuity Trust II ("James Tisch GRAT II"); and 10. The Thomas J. Tisch 1999 Annuity Trust II ("Thomas Tisch GRAT II"; and collectively with Andrew Tisch GRAT II, Daniel Tisch GRAT II and James Tisch GRAT II, the "GRATs II"). 11. The Andrew H. Tisch 1999 Annuity Trust VI ("Andrew Tisch GRAT VI"); 12. The Daniel R. Tisch 1999 Annuity Trust VI ("Daniel Tisch GRAT VI"); 13. The James S. Tisch 1999 Annuity Trust VI ("James Tisch GRAT VI"); and 14. The Thomas J. Tisch 1999 Annuity Trust VI ("Thomas Tisch GRAT VI"; and collectively with Andrew Tisch GRAT VI, Daniel Tisch GRAT VI and James Tisch GRAT VI, the "GRATs VI" and together with the GRATs II, the "GRATs"). 16 The sole partners of FP are Andrew H. Tisch 1991 Trust, for which Andrew H. Tisch is the managing trustee, Daniel R. Tisch 1991 Trust, for which Daniel R. Tisch is the managing trustee, James S. Tisch 1991 Trust, for which James S. Tisch is the managing trustee, and Thomas J. Tisch 1991 Trust, for which Thomas J. Tisch is the managing trustee. Thomas J. Tisch has been appointed the Manager of FP. The members of 4-14P are trusts for the benefit of the offspring of the Messrs. Tisch, partnerships the partners of which are such trusts and partnerships the partners of which are such partnerships. The Messrs. Tisch serve as the trustees of such trusts. Thomas J. Tisch has been appointed the Manager of 4-14P. Each of the GRATs is a grantor retained annuity trust in which the grantor holds an annuity interest and in which the remainder interest was created in favor of a trust or trusts for the grantor's offspring. Thomas J. Tisch is the grantor and Andrew H. Tisch is the trustee of Thomas Tisch GRAT II. Daniel R. Tisch is the grantor and James S. Tisch is the trustee of Daniel Tisch GRAT II. James S. Tisch is the grantor and Thomas J. Tisch is the trustee of James Tisch GRAT II. Andrew H. Tisch is the grantor and Daniel R. Tisch is the trustee of Andrew Tisch GRAT II. Thomas J. Tisch is the grantor and Andrew H. Tisch is the trustee of Thomas Tisch GRAT VI. Daniel R. Tisch is the grantor and James S. Tisch is the trustee of Daniel Tisch GRAT VI. James S. Tisch is the grantor and Thomas J. Tisch is the trustee of James Tisch GRAT VI. Andrew H. Tisch is the grantor and Daniel R. Tisch is the trustee of Andrew Tisch GRAT VI. On February 26, 1999, FP purchased 190,000 shares of Common Stock (as defined below), bringing its total ownership to 1,638,500 shares of Common Stock. On March 5, 1999, the following transfers occurred (the "GRAT II Transfers"): 1. FP distributed all of the shares of Common Stock it owned in equal shares of 409,625 each to the four trusts that are partners of FP; 2. Each of the four trusts that are partners of FP distributed all of the 409,625 shares of Common Stock that it had received from FP to the Mr. Tisch who is the beneficiary of such trust; 17 3. Each of the Messrs. Tisch contributed all of the 409,625 shares of Common Stock that he had received to the GRAT for which he is the grantor. Between March 15, 1999 and March 31, 1999, FP purchased 731,000 shares of Common Stock. On March 31, 1999, the following transfers occurred (the "GRAT VI Transfers"): 1. FP distributed 550,000 shares of common stock, $0.025 par value per share, of Neurogen Corporation ("Common Stock") it owned in equal shares of 137,500 each to the four trusts that are partners of FP; 2. Each of the four trusts that are partners of FP distributed all of the 137,500 shares of Common Stock that it had received from FP to the Mr. Tisch who is the beneficiary of such trust; 3. Each of the Messrs. Tisch contributed all of the 137,500 shares of Common Stock that he had received to the GRAT VI for which he is the grantor. None of the GRAT II Transfers or GRAT VI Transfers was a "sale" for purposes of the Securities Act of 1933, as amended (the "Securities Act"), or the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and collectively represented only a change in the form of beneficial ownership of the shares of Common Stock and not an actual change in the beneficial ownership of such shares of Common Stock. (b) Address of Principal Business Office or, if none, Residence The mailing address of FP and 4-14P is: c/o Thomas J. Tisch 667 Madison Avenue New York, NY 10021 The mailing address for each of the GRATs is: c/o Mr. Barry Bloom 655 Madison Avenue - 8th Floor New York, NY 10021 The addresses of the Messrs. Tisch are: Name Business Address ---- ---------------- Andrew H. Tisch 667 Madison Avenue New York, NY 10021 18 Daniel R. Tisch c/o Mentor Partners, L.P. 500 Park Avenue New York, NY 10022 James S. Tisch 667 Madison Avenue New York, NY 10021 Thomas J. Tisch 667 Madison Avenue New York, NY 10021 (c) Citizenship FP is a New York general partnership and 4-14P is a Delaware limited liability company. The Messrs. Tisch are brothers and are United States citizens. (d) Title of Class of Securities Common Stock, $0.025 par value (e) CUSIP Number 64124E106 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) |_| Broker or Dealer registered under Section 15 of the Act, (b) |_| Bank as defined in section 3(a)(6) of the Act, (c) |_| Insurance company as defined in section 3(a)(19) of the Act, (d) |_| Investment company registered under section 8 of the Investment Company Act of 1940, (e) |_| Investment Adviser registered under section 203 of the Investment Advisers Act of 1940, (f) |_| An employee benefit plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see ss.240.13d-1(b)(1)(ii)(F), (g) |_| A parent holding company, in accordance with ss.240.13d-1(b)(ii)(G) (Note: See Item 7), (h) |_| A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) |_| A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) |_| Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). If this statement is filed pursuant to ss. 240.13d-1(c), check this box |X|. 19 Item 4. Ownership (a-b) Amount Beneficially Owned and Percent of Class FP owns 181,000 shares of Common Stock. Each GRAT II owns 409,625 shares of Common Stock. Each GRAT VI owns 137,500 shares of Common Stock. 4-14P owns 300,000 shares of Common Stock. 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. 20 Name of Amount and Nature of % of Class Beneficial Owner Beneficial Ownership Outstanding (1) - ---------------- -------------------- --------------- Four Partners 181,000 1.2% Four-Fourteen Partners 300,000 2.0% Andrew H. Tisch 1991 Trust 0 0 Daniel R. Tisch 1991 Trust 0 0 James S. Tisch 1991 Trust 0 0 Thomas J. Tisch 1991 Trust 0 0 Andrew Tisch GRAT II 409,625 2.8 Daniel Tisch GRAT II 409,625 2.8 James Tisch GRAT II 409,625 2.8 Thomas Tisch GRAT II 409,625 2.8 Andrew Tisch GRAT VI 137,500 0.9 Daniel Tisch GRAT VI 137,500 0.9 James Tisch GRAT VI 137,500 0.9 Thomas Tisch GRAT VI 137,500 0.9 Andrew H. Tisch 547,125 (2) 3.7 Daniel R. Tisch 547,125 (2) 3.7 James S. Tisch 547,125 (2) 3.7 Thomas J. Tisch 547,125 (2) 3.7 ------- --- Total 2,669,500 18.2% (1) - -------------------------- (1) The ownership percentages set forth in the table above are based on 14,704,488 shares of Common Stock outstanding as of March 1, 1999, which information was reported on the Issuer's Form 10-K for the fiscal year ended December 31, 1998. (2) Does not include shares owned by FP or 4-14P. Each of the Messrs. Tisch is herein reporting beneficial ownership of the shares of Common Stock owned by the GRATs for which he is trustee. 21 (c) Set forth in the table below is information with respect to the number of shares of Common Stock beneficially owned as of the date hereof by each person or entity named in Item 2 above, indicating, with respect to such shares of Common Stock, whether each such person has the sole power to vote or direct the vote or shared power to vote or direct the vote and sole power to dispose or direct the disposition or shared power to dispose or direct the disposition.
Name of Power to Vote or Power to Dispose or Reporting Person Direct the Vote Direct the Disposition - ---------------- ---------------- ---------------------- Sole Shared Sole Shared ---- ------ ---- ------ Four Partners 181,000 0 181,000 0 Four-Fourteen Partners 300,000 0 300,000 0 Andrew H. Tisch 1991 Trust 0 0 0 0 Daniel R. Tisch 1991 Trust 0 0 0 0 James S. Tisch 1991 Trust 0 0 0 0 Thomas J. Tisch 1991 Trust 0 0 0 0 Andrew Tisch GRAT II 409,625 0 409,625 0 Daniel Tisch GRAT II 409,625 0 409,625 0 James Tisch GRAT II 409,625 0 409,625 0 Thomas Tisch GRAT II 409,625 0 409,625 0 Andrew Tisch GRAT VI 137,500 0 137,500 0 Daniel Tisch GRAT VI 137,500 0 137,500 0 James Tisch GRAT VI 137,500 0 137,500 0 Thomas Tisch GRAT VI 137,500 0 137,500 0 Andrew H. Tisch (1)(2) 547,125 0 547,125 0 Daniel R. Tisch (1)(2) 547,125 0 547,125 0 James S. Tisch (1)(2) 547,125 0 547,125 0 Thomas J. Tisch (1)(2) 547,125 0 547,125 0 - --------------------
(1) By virtue of their status as trustees of the respective GRATs, the Messrs. Tisch may be deemed to have power to vote or direct the vote of the securities owned by those GRATs and power to dispose or direct the disposition of the securities owned by those GRATs. (2) Does not include shares of Common Stock owned by FP or 4-14P. By virtue of their status as managing trustees of the trusts which are the general partners of FP, the 22 Messrs. Tisch may be deemed to have indirectly shared power to vote or direct the vote of and to dispose or direct the disposition of the shares owned by FP. By virtue of their status as trustees of the trusts which are members of 4-14P, partners of the partnerships that are members of 4-14P and partners of the partnerships that are partners of the partnerships that are members of 4-14P, the Messrs. Tisch may be deemed to have indirectly shared power to vote or direct the vote of the securities owned by 4-14P and indirectly shared power to dispose or direct the disposition of the securities owned by 4-14P. By virtue of his status as manager of FP and 4-14P, Thomas J. Tisch may be deemed to have power to vote or direct the vote of the securities owned by FP and 4-14P and power to dispose or direct the disposition of the securities owned by FP and 4-14P. Item 5. Ownership of Five Percent or Less of a Class Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable. Item 8. Identification and Classification of Members of the Group Not applicable. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 23 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. April 12, 1999 FOUR PARTNERS By /s/ Thomas J. Tisch ---------------------------------- Thomas J. Tisch, Manager FOUR-FOURTEEN PARTNERS, LLC By /s/ Thomas J. Tisch ---------------------------------- Thomas J. Tisch, Manager /s/ Andrew H. Tisch ---------------------------------- Andrew H. Tisch /s/ Daniel R. Tisch ---------------------------------- Daniel R. Tisch /s/ James S. Tisch ---------------------------------- James S. Tisch /s/ Thomas J. Tisch ---------------------------------- Thomas J. Tisch THE ANDREW H. TISCH 1999 ANNUITY TRUST II By /s/ Daniel R. Tisch ---------------------------------- Daniel R. Tisch, Trustee 24 THE DANIEL R. TISCH 1999 ANNUITY TRUST II By /s/ James S. Tisch ---------------------------------- James S. Tisch, Trustee THE JAMES S. TISCH 1999 ANNUITY TRUST II By /s/ Thomas J. Tisch ---------------------------------- Thomas J. Tisch, Trustee THE THOMAS J. TISCH 1999 ANNUITY TRUST II By /s/ Andrew H. Tisch ---------------------------------- Andrew H. Tisch, Trustee THE ANDREW H. TISCH 1999 ANNUITY TRUST VI By /s/ Daniel R. Tisch ---------------------------------- Daniel R. Tisch, Trustee THE DANIEL R. TISCH 1999 ANNUITY TRUST VI By /s/ James S. Tisch ---------------------------------- James S. Tisch, Trustee THE JAMES S. TISCH 1999 ANNUITY TRUST VI By /s/ Thomas J. Tisch ---------------------------------- Thomas J. Tisch, Trustee THE THOMAS J. TISCH 1999 ANNUITY TRUST VI By /s/ Andrew H. Tisch ---------------------------------- Andrew H. Tisch, Trustee 25 AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Schedule 13G dated April , 1999 relating to the Common Stock, $0.025 par value per share, of Neurogen Corporation, as the same may be amended from time to time hereafter, is being filed with the Securities and Exchange Commission on behalf of each of them. Dated: April 12, 1999 FOUR PARTNERS By /s/ Thomas J. Tisch ---------------------------------- Thomas J. Tisch, Manager FOUR-FOURTEEN PARTNERS, LLC By /s/ Thomas J. Tisch ---------------------------------- Thomas J. Tisch, Manager /s/ Andrew H. Tisch ---------------------------------- Andrew H. Tisch /s/ Daniel R. Tisch ---------------------------------- Daniel R. Tisch /s/ James S. Tisch ---------------------------------- James S. Tisch /s/ Thomas J. Tisch ---------------------------------- Thomas J. Tisch 26 THE ANDREW H. TISCH 1999 ANNUITY TRUST II By /s/ Daniel R. Tisch ---------------------------------- Daniel R. Tisch, Trustee THE DANIEL R. TISCH 1999 ANNUITY TRUST II By /s/ James S. Tisch ---------------------------------- James S. Tisch, Trustee THE JAMES S. TISCH 1999 ANNUITY TRUST II By /s/ Thomas J. Tisch ---------------------------------- Thomas J. Tisch, Trustee THE THOMAS J. TISCH 1999 ANNUITY TRUST II By /s/ Andrew H. Tisch ---------------------------------- Andrew H. Tisch, Trustee THE ANDREW H. TISCH 1999 ANNUITY TRUST VI By /s/ Daniel R. Tisch ---------------------------------- Daniel R. Tisch, Trustee THE DANIEL R. TISCH 1999 ANNUITY TRUST VI By /s/ James S. Tisch ---------------------------------- James S. Tisch, Trustee THE JAMES S. TISCH 1999 ANNUITY TRUST VI By /s/ Thomas J. Tisch ---------------------------------- Thomas J. Tisch, Trustee THE THOMAS J. TISCH 1999 ANNUITY TRUST VI By /s/ Andrew H. Tisch ---------------------------------- Andrew H. Tisch, Trustee 27 -----END PRIVACY-ENHANCED MESSAGE-----