Neonc Technologies CEO buys 10,000 shares at $3.86

The position disclosures distinguish the direct purchase from shares reported through LLCs and held by immediate family members.

Available on EDGAR 11/09/2026 - 07:00 PM EST Accepted by SEC EDGAR 11/09/2026 - 07:00 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

NEONC TECHNOLOGIES HOLDINGS, INC. (NTHI) Director, CEO and President Amir F. Heshmatpour purchased 10,000 common shares at $3.86 per share on November 9, 2026. The reported post-transaction amount was 3,263,000 shares, including 275,000 held by certain immediate family members, of which Heshmatpour disclaims beneficial ownership except to the extent of any pecuniary interest. Other reported positions are held through HCWG LLC, KIG LLC and AFH Holdings & Advisory, LLC. The purchase was not reported under a Rule 10b5-1 plan.

Insider Trade Summary

Net Buyer: 10,000 shares

Net Buy 1 txn

Insider Heshmatpour Amir F

Role CEO, President

Bought 10,000 shs ($39K)

Increase in Position 0.31%

Type	Security	Shares	Price	Value
Purchase	Common Stock F1	10,000	$3.86	$39K
Holding	Common Stock F2	--	--	--
Holding	Common Stock F3	--	--	--
Holding	Common Stock F4	--	--	--

Holdings After Transaction: Common Stock — 3,263,000 shares (Direct); Common Stock — 256,120 shares (Indirect, By HCWG LLC); Common Stock — 550,000 shares (Indirect, By KIG LLC); Common Stock — 3,714,020 shares (Indirect, By AFH Holdings & Advisory, LLC.)

Holdings Before and After: Common Stock, 3,253,000 to 3,263,000 shares (Direct)

Footnotes (4)

1. F1. Includes 275,000 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.
2. F2. Such shares represent only Reporting Person's proportionate interest in HCWG LLC.
3. F3. 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.
4. F4. Reporting Person is the sole member and manager of AFH Holding & Advisory, LLC.

Key Figures

Common shares purchased: 10,000 shares Purchase price: $3.86 per share Reported post-transaction amount: 3,263,000 shares +3 more

6 metrics

Common shares purchased 10,000 shares Purchase on November 9, 2026

Purchase price $3.86 per share Common Stock purchase on November 9, 2026

Reported post-transaction amount 3,263,000 shares Includes 275,000 shares held by certain immediate family members; Heshmatpour disclaims beneficial ownership except to the extent of any pecuniary interest.

HCWG LLC position 256,120 shares Reported indirect position; represents only Heshmatpour’s proportionate interest in HCWG LLC.

KIG LLC position 550,000 shares Shares held by KIG LLC, whose sole member is Heshmatpour’s spouse; Heshmatpour disclaims beneficial ownership except to the extent of any pecuniary interest.

AFH Holdings & Advisory, LLC position 3,714,020 shares Reported indirect position on November 9, 2026.

Key Terms

pecuniary interest, proportionate interest, beneficial ownership

3 terms

pecuniary interest financial

"except to the extent of his pecuniary interest, if any, therein"

proportionate interest financial

"Such shares represent only Reporting Person's proportionate interest in HCWG LLC."

beneficial ownership financial

"Reporting Person disclaims beneficial ownership of such shares"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many NTHI shares did Amir F. Heshmatpour buy, and at what price?

Amir F. Heshmatpour, NTHI’s Director, CEO and President, purchased 10,000 common shares at $3.86 per share on November 9, 2026. The reported post-transaction amount was 3,263,000 shares, including 275,000 held by certain immediate family members, of which he disclaims beneficial ownership except to the extent of any pecuniary interest. The purchase was not reported under a Rule 10b5-1 plan.

What indirect NTHI share positions were reported through Amir F. Heshmatpour’s entities?

The reported positions were 256,120 shares through HCWG LLC, representing only his proportionate interest; 550,000 shares held by KIG LLC, whose sole member is his spouse; and 3,714,020 shares through AFH Holdings & Advisory, LLC. Heshmatpour disclaims beneficial ownership of the KIG LLC shares except to the extent of any pecuniary interest.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Heshmatpour Amir F

(Last) (First) (Middle)

23975 SORRENTO PARK

SUITE 205

(Street)

CALABASAS CALIFORNIA 91302

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
NEONC TECHNOLOGIES HOLDINGS, INC. [ NTHI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	CEO, President

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/09/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	11/09/2026		P		10,000	A	$3.86	3,263,000(1)	D
Common Stock								256,120(2)	I	By HCWG LLC
Common Stock								550,000(3)	I	By KIG LLC
Common Stock								3,714,020(4)	I	By AFH Holdings & Advisory, LLC.

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Includes 275,000 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.

2. Such shares represent only Reporting Person's proportionate interest in HCWG LLC.

3. 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.

4. Reporting Person is the sole member and manager of AFH Holding & Advisory, LLC.

Remarks:

	/S/ AMIR F HESHMATPOUR	11/09/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)