X0306 4 2018-06-29 0 0001694187 Neon Therapeutics, Inc. NTGN 0001391297 Access Industries Holdings LLC C/O ACCESS INDUSTRIES, INC. 40 WEST 57TH STREET, 28TH FLOOR NEW YORK NY 10019 0 0 1 0 0001468950 Clal Biotechnology Industries Ltd. 3 AZRIELI CENTER TRIANGLE TOWER 45 FLOOR TEL AVIV L3 67023 ISRAEL 0 0 0 1 See Remarks 0001508227 ACCESS INDUSTRIES, LLC C/O ACCESS INDUSTRIES, INC. 40 WEST 57TH STREET, 28TH FLOOR NEW YORK NY 10019 0 0 0 1 Affiliate of 10% Owner 0001508226 ACCESS INDUSTRIES MANAGEMENT, LLC C/O ACCESS INDUSTRIES, INC. 40 WEST 57TH STREET, 28TH FLOOR NEW YORK NY 10019 0 0 0 1 Affiliate of 10% Owner 0001326628 Blavatnik Len C/O ACCESS INDUSTRIES, INC. 40 WEST 57TH STREET, 28TH FLOOR NEW YORK NY 10019 0 0 0 1 Affiliate of 10% Owner Common Stock 2018-06-29 4 C 0 999998 A 999998 D Common Stock 2018-06-29 4 C 0 999998 A 999998 I By corporation Common Stock 2018-06-29 4 C 0 782917 A 1782915 D Common Stock 2018-06-29 4 P 0 315000 16.00 A 2097915 D Series A Preferred Stock 2018-06-29 4 C 0 5000000 D Common Stock 999998 0 D Series A Preferred Stock 2018-06-29 4 C 0 5000000 D Common Stock 999998 0 I By corporation Series B Preferred Stock 2018-06-29 4 C 0 3914590 D Common Stock 782917 0 D Reflects conversion of shares of Series A Preferred Stock into shares of the Issuer's common stock, $0.001 par value per share ("Common Stock"), in connection with the closing of the Issuer's initial public offering of Common Stock on approximately a 5:1 basis exempted under Rule 16b-6(b). The Series A Preferred Stock were convertible at any time into shares of Common Stock and had no expiration date. In connection with the conversion, fractional shares of Common Stock were cash settled at a value of $16.00 per share. AIH and CBI (each as defined below) each received $32.00 for the cash settlement of an aggregate of 2 fractional shares of Common Stock. The securities reported are held directly by Access Industries Holdings LLC ("AIH") and may be deemed to be beneficially owned by Access Industries, LLC ("Access LLC"), Access Industries Management, LLC ("Management LLC") and Len Blavatnik, because Access LLC holds a majority of the outstanding voting interests in AIH, Management LLC controls Access LLC and AIH, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than AIH) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than AIH) is the beneficial owner of such securities for any purpose. The securities reported are held directly by Clal Biotechnology Industries Ltd. ("CBI"). AIH, Access LLC, Management LLC and Len Blavatnik may be deemed to beneficially own the securities held directly by CBI because Clal Industries Ltd. ("CI") is the controlling shareholder of CBI, AIH controls CI, Access LLC holds a majority of the outstanding interests in AIH, Management LLC controls Access LLC, and Len Blavatnik controls Management LLC and Access LLC. Each of the reporting persons (other than CBI) disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person (other than CBI) is the beneficial owner of such securities for any purpose. Reflects conversion of shares of Series B Preferred Stock into shares of Common Stock in connection with the closing of the Issuer's initial public offering of Common Stock on approximately a 5:1 basis exempted under Rule 16b-6(b). The Series B Preferred Stock were convertible at any time into shares of Common Stock and had no expiration date. In connection with the conversion, fractional shares of Common Stock were cash settled at a value of $16.00 per share. AIH received $16.00 for the cash settlement of an aggregate of 1 fractional share of Common Stock. As a result of CBI's relationships with the other Reporting Persons, it is possible that CBI may be deemed a member of a "group", within the meaning of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934, as amended (the" Act"), with such other Reporting Persons. CBI is making this filing as a precautionary matter and this filing shall not be deemed an admission that CBI is a member of a group or is subject to the reporting requirements of Section 16 of the Act. /s/ Alejandro Moreno for Access Industries Holdings LLC 2018-07-03 /s/ Ofer Gonen (CEO) and Assaf Segal (CFO) for Clal Biotechnology Industries Ltd. 2018-07-03 /s/ Alejandro Moreno for Access Industries, LLC 2018-07-03 /s/ Alejandro Moreno for Access Industries Management, LLC 2018-07-03 /s/ Alejandro Moreno, as Attorney-in-Fact for Mr. Blavatnik 2018-07-03