0001213900-25-051687.txt : 20250605 0001213900-25-051687.hdr.sgml : 20250605 20250605191027 ACCESSION NUMBER: 0001213900-25-051687 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20250326 FILED AS OF DATE: 20250605 DATE AS OF CHANGE: 20250605 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Heshmatpour Amir F CENTRAL INDEX KEY: 0001443035 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-42567 FILM NUMBER: 251028561 MAIL ADDRESS: STREET 1: 6363 LUNITA RD CITY: MALIBU STATE: CA ZIP: 90265 FORMER NAME: FORMER CONFORMED NAME: Hestmatpour Amir F DATE OF NAME CHANGE: 20080814 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEONC TECHNOLOGIES HOLDINGS, INC. CENTRAL INDEX KEY: 0001979414 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences EIN: 921954864 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 23975 PARK SORRENTO STREET 2: SUITE 205 CITY: CALABASAS STATE: CA ZIP: 91302 BUSINESS PHONE: 310 663 7831 MAIL ADDRESS: STREET 1: 23975 PARK SORRENTO STREET 2: SUITE 205 CITY: CALABASAS STATE: CA ZIP: 91302 4/A 1 marketforms-69573.xml PRIMARY DOCUMENT X0508 4/A 2025-03-26 2025-03-28 0001979414 NEONC TECHNOLOGIES HOLDINGS, INC. NTHI 0001443035 Heshmatpour Amir F 23975 SORRENTO PARK SUITE 205 CALABASAS CA 91302 true false false false 0 Common Stock 2025-03-26 4 J false 3996 0 D 216459 I By HCWG LLC Common Stock 2025-03-26 4 X false 78125 12.00 A 294584 I By HCWG LLC Common Stock 2025-03-26 4 S false 37500 25.00 D 257084 I By HCWG LLC Common Stock 2025-03-26 4 S false 964 19.1299 D 256120 I By HCWG Common Stock 2025000 D Common Stock 550000 I By KIG LLC Common Stock 3714020 I By AFH Holdings & Advisory, LLC. Warrant (right to buy) 12.00 2025-03-26 4 X false 78125 0 D 2025-03-26 Common Stock 78125 0 I By HCWG LLC Transfer of shares held by HCWG LLC ("HCWG") pursuant to agreement. Not applicable. Number of shares transferred was based on a per share value of $18. The shares reported as indirectly held herein by HCWG represent only Reporting Person's interest in HCWG. 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. 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 37,500 warrant shares to pay the exercise price. Includes (i) 500,000 shares held by certain members of Reporting Person's immediate family of which Reporting Person disclaims beneficial ownership, except to the extent of his pecuniary interest, if any, therein. Such shares are held by KIG LLC of which Reporting Person's spouse is the sole member. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein. Reporting Person is the sole member and manager of AFH Holding & Advisory, LLC. Not applicable. 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. /S/ AMIR F HESHMATPOUR 2025-06-05