Neonc Technologies CEO buys 40,000 shares Nov. 6

The two reported weighted-average prices correspond to disclosed ranges of $3.16 to $3.17 and $3.21 to $3.55 per share.

Available on EDGAR 11/09/2026 - 06:04 AM EST Accepted by SEC EDGAR 11/09/2026 - 06:00 AM EST

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Form Type

Rhea-AI Filing Summary

Neonc Technologies Holdings, Inc. (NTHI) CEO and President Amir F. Heshmatpour reported direct purchases of common stock: 30,000 shares on November 5, 2026, at a weighted average price of $3.1670 per share, and 40,000 shares on November 6 at a weighted average price of $3.3875 per share. No Rule 10b5-1 plan is reported. Separate indirect holdings reported on November 5 were 256,120 shares through HCWG LLC, 550,000 shares held by KIG LLC, and 3,714,020 shares through AFH Holding & Advisory, LLC.

Insider Trade Summary

Net Buyer: 70,000 shares

Net Buy 2 txns

Insider Heshmatpour Amir F

Role CEO, President

Bought 70,000 shs ($231K)

Increase in Position 2.2%

Type	Security	Shares	Price	Value
Purchase	Common Stock ^{F1, F4, F3}	40,000	$3.3875	$136K
Purchase	Common Stock ^{F1, F2, F3}	30,000	$3.167	$95K
Holding	Common Stock ^F5	--	--	--
Holding	Common Stock ^F6	--	--	--
Holding	Common Stock ^F7	--	--	--

Holdings After Transaction: Common Stock — 3,253,000 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, 3,183,000 to 3,253,000 shares (Direct)

Footnotes (7)

F1. The aggregate number of shares (the "Shares") of common stock of Issuer purchased by the Reporting Person on the same date at different prices.
F2. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $3.16 to $3.17 per share, inclusive. Full information regarding the number of Shares purchased at each price shall be provided to the Securities and Exchange Commission staff, Issuer or any security holder, upon request.
F3. 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.
F4. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $3.21 to $3.55 per share, inclusive. Full information regarding the number of Shares purchased at each price shall be provided to the Securities and Exchange Commission staff, Issuer or any security holder, upon request.
F5. Such shares represent only Reporting Person's proportionate interest in HCWG LLC.
F6. 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.
F7. Reporting Person is the sole member and manager of AFH Holding & Advisory, LLC.

Key Figures

Common shares purchased: 30,000 shares Weighted average purchase price: $3.1670 per share Common shares purchased: 40,000 shares +4 more

7 metrics

Common shares purchased 30,000 shares Direct purchase on November 5, 2026

Weighted average purchase price $3.1670 per share 30,000-share purchase on November 5, 2026

Common shares purchased 40,000 shares Direct purchase on November 6, 2026

Weighted average purchase price $3.3875 per share 40,000-share purchase on November 6, 2026

Shares representing proportionate interest in HCWG LLC 256,120 shares Reported November 5, 2026

Shares held by KIG LLC 550,000 shares Reported November 5, 2026

Shares held by AFH Holding & Advisory, LLC 3,714,020 shares Reported November 5, 2026

Key Terms

weighted average purchase price, proportionate interest, pecuniary interest, beneficial ownership

4 terms

weighted average purchase price financial

"Represents the weighted average purchase price."

The weighted average purchase price is the average cost per share you paid across multiple buys, calculated so larger purchases count more than smaller ones. Imagine buying apples at different prices: the overall price you effectively paid depends on how many apples you bought at each price. Investors use it to measure true cost basis, calculate gains or losses, decide when to sell, and manage taxes and portfolio performance.

proportionate interest financial

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

pecuniary interest financial

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

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 CEO Amir F. Heshmatpour purchase, and at what prices?

Amir F. Heshmatpour reported purchasing 30,000 shares on November 5, 2026, at a weighted average price of $3.1670 per share, and 40,000 shares on November 6 at a weighted average price of $3.3875 per share. No Rule 10b5-1 plan is reported.

What NTHI shares are reported through entities associated with Amir F. Heshmatpour?

The November 5, 2026 holdings include 256,120 shares representing his proportionate interest in HCWG LLC; 550,000 shares held by KIG LLC, whose sole member is his spouse, with Heshmatpour disclaiming beneficial ownership except to the extent of any pecuniary interest; and 3,714,020 shares held by AFH Holding & Advisory, LLC, of which he is sole member and manager.

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

Form 4 Insider Transactions: What Each Field Means →

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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)
11/05/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	11/05/2026		P		30,000⁽¹⁾	A	$3.167⁽²⁾	3,213,000⁽³⁾	D
Common Stock	11/06/2026		P		40,000⁽¹⁾	A	$3.3875⁽⁴⁾	3,253,000⁽³⁾	D
Common Stock								256,120⁽⁵⁾	I	By HCWG LLC
Common Stock								550,000⁽⁶⁾	I	By KIG LLC
Common Stock								3,714,020⁽⁷⁾	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. The aggregate number of shares (the "Shares") of common stock of Issuer purchased by the Reporting Person on the same date at different prices.

2. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $3.16 to $3.17 per share, inclusive. Full information regarding the number of Shares purchased at each price shall be provided to the Securities and Exchange Commission staff, Issuer or any security holder, upon request.

3. 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.

4. Represents the weighted average purchase price. The Shares were purchased at prices ranging from $3.21 to $3.55 per share, inclusive. Full information regarding the number of Shares purchased at each price shall be provided to the Securities and Exchange Commission staff, Issuer or any security holder, upon request.

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

6. 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.

7. 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)

Source: View Original Filing on SEC EDGAR