Thomas C. Chen, a director, 10% owner, and Chief Medical Officer of NeoNC Technologies Holdings, Inc., filed a Form 4 on November 12, 2026, reporting two open-market purchases of common stock on November 9 and November 10, 2026.

Key Highlights

  • First purchase: 2,732 shares of common stock acquired on November 9, 2026, at $3.66 per share, held indirectly by IRA.
  • Second purchase: 2,284 shares of common stock acquired on November 10, 2026, at a weighted average price of $4.379 per share, with individual prices ranging from $4.31 to $4.38 per share, inclusive, also held indirectly by IRA.
  • Post-transaction IRA holdings: 29,519 shares of common stock held indirectly by IRA following the November 10 transaction.
  • Multiple indirect ownership entities: Chen also holds shares indirectly through HCWG LLC (261,242 shares), NeuCen Biomedical Co. Ltd. (888,148 shares), TR Chen Third Family Limited Partnership (2,833,961 shares), Tien Duan Chen Trust (93,253 shares), and a Defined Benefit Plan (948 shares).
  • Direct holdings: 583,531 shares are reported as directly held, with Chen disclaiming beneficial ownership of certain family-held shares except to the extent of his pecuniary interest.
  • Issuer and exchange: NeoNC Technologies Holdings, Inc. trades on NASDAQ:NTHI.

Chen's November 2026 Open-Market Purchases and Ownership Structure at NeoNC Technologies Holdings

According to the filing, Thomas C. Chen, who serves as a director, officer with the title of CMO, and 10% owner of NeoNC Technologies Holdings, Inc. (NASDAQ:NTHI), reported two purchase transactions coded "P" (open-market purchase) in Table I of the Form 4. The first transaction, dated November 9, 2026, involved the acquisition of 2,732 shares at $3.66 per share, held indirectly through an IRA, bringing that account's balance to 27,235 shares. The second transaction, dated November 10, 2026, involved the acquisition of 2,284 shares at a weighted average price of $4.379 per share, with the filing noting that individual share prices ranged from $4.31 to $4.38, inclusive.

The filing states that full information regarding the number of shares purchased at each individual price on November 10 is available to the Securities and Exchange Commission staff, the issuer, or any security holder upon request. Following the November 10 purchase, the IRA account held 29,519 shares of common stock indirectly.

Beyond the IRA, the filing discloses a complex ownership structure. Chen holds 583,531 shares directly. Additional indirect holdings are reported through HCWG LLC (261,242 shares representing Chen's percentage interest), NeuCen Biomedical Co. Ltd. (888,148 shares, owned in part by Chen's spouse), TR Chen Third Family Limited Partnership (2,833,961 shares, a Nevada limited partnership of which Chen and his spouse are general partners with sole voting and dispositive power), Tien Duan Chen Trust (93,253 shares), and a Defined Benefit Plan (948 shares). The filing notes that Chen disclaims beneficial ownership of several of these holdings except to the extent of his pecuniary interest, if any.

What Was Disclosed

The Form 4 filed November 12, 2026 discloses two open-market purchases of NTHI common stock by CMO and director Thomas C. Chen on November 9 and November 10, 2026, totaling 5,016 shares acquired through his IRA at prices between $3.66 and $4.38 per share.