Patrick Walters - Mar 26, 2025 Form 4/A - Amendment Insider Report for NEONC TECHNOLOGIES HOLDINGS, INC. (NTHI)

Role
COO
Signature
/S/ PATRICK WALTERS
Stock symbol
NTHI
Transactions as of
Mar 26, 2025
Transactions value $
-$5,676
Form type
4/A - Amendment
Date filed
4/8/2025, 09:36 PM
Date Of Original Report
Mar 28, 2025
Previous filing
Mar 25, 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NTHI Common Stock Other $0 -1.23K -1.81% $0.00 66.7K Mar 26, 2025 By HCWG LLC F1, F2, F3
transaction NTHI Common Stock Exercise of in-the-money or at-the-money derivative security $289K +24.1K +36.09% $12.00 90.7K Mar 26, 2025 By HCWG LLC F4
transaction NTHI Common Stock Sale -$289K -11.6K -12.73% $25.00 79.2K Mar 26, 2025 By HCWG LLC
transaction NTHI Common Stock Sale -$5.68K -297 -0.38% $19.13 78.9K Mar 26, 2025 By HCWG LLC
holding NTHI Common Stock 797K Mar 26, 2025 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction NTHI Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security $0 -24.1K -100% $0.00 0 Mar 26, 2025 Common Stock 24.1K $12.00 By HCWG LLC F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Transfer of shares of common stock held by HCWG LLC ("HCWG") pursuant to agreement.
F2 Not applicable. Number of shares transferred was based on a per share value of $18.
F3 The shares reported herein represent only Reporting Person's percentage interest in HCWG LLC.
F4 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.
F5 Not applicable.