NeOnc CEO buys 10,798 shares in open market
CEO Thomas C. Chen bought NTHI shares in open-market IRA transactions and reported sizable direct and indirect holdings with several beneficial ownership disclaimers.
Sentiment and the balance of points
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Form Type
4
Rhea-AI Filing Summary
NEONC TECHNOLOGIES HOLDINGS, INC. (NTHI) CEO and director Thomas C. Chen reported open-market purchases of a total of 10,798 shares of common stock on September 11 and 14, 2026, through an IRA at prices of $3.60 and $3.815 per share. The filing also reports updated direct and indirect holdings across family-related entities and trusts, with several positions subject to beneficial ownership disclaimers limited to Chen’s pecuniary interests.
Insider Trade Summary
Net Buyer: 10,798 shares
Net Buy
2 txns
Insider
CHEN THOMAS C
Role
CEO
Bought
10,798 shs ($40K)
Increase in Position
78.8%
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Purchase | Common Stock | 5,242 | $3.815 | $20K |
| Purchase | Common Stock | 5,556 | $3.60 | $20K |
| Holding | Common Stock F1 | -- | -- | -- |
| Holding | Common Stock F2 | -- | -- | -- |
| Holding | Common Stock F3 | -- | -- | -- |
| Holding | Common Stock F4 | -- | -- | -- |
| Holding | Common Stock F5 | -- | -- | -- |
| Holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Common Stock — 24,503 shares (Indirect, By IRA);
Common Stock — 583,531 shares (Direct);
Common Stock — 261,242 shares (Indirect, By HCWG LLC);
Common Stock — 888,148 shares (Indirect, By NeuCen Biomedical Co. Ltd.);
Common Stock — 2,833,961 shares (Indirect, By TR Chen Third Family Limited Partnership.);
Common Stock — 93,253 shares (Indirect, By Tien Duan Chen Trust);
Common Stock — 948 shares (Indirect, By Defined Benefit Plan)
Holdings Before and After:
Common Stock, 13,705 to 24,503 shares (Indirect, By IRA)
Other Insiders: 2 other insiders reported open-market purchases of this stock in the 30 days up to this filing.
Footnotes (5)
- F1. Includes shares of common stock 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.
- F2. Such shares represent only Reporting Person's percentage interest in HCWG LLC.
- F3. Shares held by NeuCen Biomedical Co. Ltd. ("NeuCen"). NeuCen is owned in part by Reporting Person's spouse. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.
- F4. Shares held by T. R. Chen Third Family Limited Partnership, a NV limited partnership, of which Reporting Person and his spouse are the general partners with sole voting and dispositive power. Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.
- F5. Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest, if any, therein.
Key Figures
Shares purchased September 14, 2026: 5,242 shares
Purchase price September 14, 2026: $3.815 per share
Shares purchased September 11, 2026: 5,556 shares
+5 more
8 metrics
Shares purchased September 14, 2026
5,242 shares
Common stock bought indirectly through IRA at $3.815 per share
Purchase price September 14, 2026
$3.815 per share
Open-market or private purchase of 5,242 common shares through IRA
Shares purchased September 11, 2026
5,556 shares
Common stock bought indirectly through IRA at $3.60 per share
Purchase price September 11, 2026
$3.60 per share
Open-market or private purchase of 5,556 common shares through IRA
Total shares purchased
10,798 shares
Aggregate of two IRA purchases on September 11 and 14, 2026
Direct common shares held
583,531 shares
Direct holding entry, including certain immediate family shares, with disclaimer
Indirect shares via TR Chen Third Family Limited Partnership
2,833,961 shares
Indirect holding with Chen and spouse as general partners with sole voting and dispositive power
Indirect shares via NeuCen Biomedical Co. Ltd.
888,148 shares
Indirect holding; NeuCen is owned in part by Chen’s spouse, with beneficial ownership disclaimed except for pecuniary interest
Key Terms
beneficial ownership, pecuniary interest, dispositive power, Defined Benefit Plan, +1 more
5 terms
beneficial ownership financial
"Reporting Person disclaims beneficial ownership of such shares, except to the extent"
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.
pecuniary interest financial
"disclaims beneficial ownership except to the extent of his pecuniary interest"
dispositive power financial
"general partners with sole voting and dispositive power"
Dispositive power is the authority to decide the final outcome of an asset, legal claim, contract, or corporate action — in effect the power to dispose of or resolve something. For investors it matters because whoever holds that authority can determine who gets paid, who controls an asset or vote, and how risks and returns are allocated; think of it like holding the key that lets you lock in the winner or loser in a deal.
Defined Benefit Plan financial
"Shares held indirectly By Defined Benefit Plan"
A defined benefit plan is a retirement program that guarantees workers a specific monthly payment after they retire, with the employer responsible for funding whatever is needed to meet that promise. Investors care because these plans create long-term payment obligations that can affect a company’s cash flow and balance sheet—similar to a homeowner having a fixed mortgage the household must cover regardless of income swings.
IRA financial
"Common Stock purchased indirectly By IRA in open-market or private transaction"
An individual retirement account (IRA) is a savings account designed to help people put aside money for their retirement, often with tax advantages that encourage long-term savings. It matters to investors because it can grow over time, providing financial security later in life, and offers benefits that can reduce current taxes or allow investments to compound more effectively.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What insider transactions did NTHI CEO Thomas C. Chen report on this Form 4?
He reported two open-market purchases of NEONC TECHNOLOGIES HOLDINGS, INC. common stock through an IRA on September 11 and 14, 2026, along with updated direct and indirect holdings across several family-related entities and trusts.
What are Thomas C. Chen’s reported direct NTHI holdings after these transactions?
After these transactions, a holding entry shows 583,531 shares of NTHI common stock held directly, including shares held by certain immediate family members. A footnote states Chen disclaims beneficial ownership except to the extent of his pecuniary interest.
What indirect NTHI holdings are reported for Thomas C. Chen through entities and trusts?
Indirect holdings include 261,242 shares via HCWG LLC, 888,148 shares via NeuCen Biomedical Co. Ltd., 2,833,961 shares via T.R. Chen Third Family Limited Partnership, 93,253 shares via Tien Duan Chen Trust, and 948 shares via a Defined Benefit Plan, with several positions subject to beneficial ownership disclaimers.
AI-generated analysis. How Rhea-AI works. Not financial advice.
