# EDGAR Filing Document

**Accession Number:** 0001979414
**File Stem:** 0001213900-25-051687
**Filing Date:** 2025-6
**Character Count:** 8221
**Document Hash:** d010704df7a2dc0385f503b9579f57e5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-25-051687.hdr.sgml**: 20250605

**ACCESSION NUMBER**: 0001213900-25-051687

**CONFORMED SUBMISSION TYPE**: 4/A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250326

**FILED AS OF DATE**: 20250605

**DATE AS OF CHANGE**: 20250605

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Heshmatpour Amir F
- **CENTRAL INDEX KEY:** 0001443035

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-42567
- **FILM NUMBER:** 251028561

**MAIL ADDRESS:**
- **STREET 1:** 6363 LUNITA RD
- **CITY:** MALIBU
- **STATE:** CA
- **ZIP:** 90265

**FORMER NAME:**
- **FORMER CONFORMED NAME:** Hestmatpour Amir F
- **DATE OF NAME CHANGE:** 20080814
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NEONC TECHNOLOGIES HOLDINGS, INC.
- **CENTRAL INDEX KEY:** 0001979414
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 921954864
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 23975 PARK SORRENTO
- **STREET 2:** SUITE 205
- **CITY:** CALABASAS
- **STATE:** CA
- **ZIP:** 91302
- **BUSINESS PHONE:** 310 663 7831

**MAIL ADDRESS:**
- **STREET 1:** 23975 PARK SORRENTO
- **STREET 2:** SUITE 205
- **CITY:** CALABASAS
- **STATE:** CA
- **ZIP:** 91302

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

## FORM 4/A

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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**<sup>*</sup><br>Heshmatpour Amir F<br><sub>(Last) (First) (Middle)</sub><br>23975 SORRENTO PARK<br>SUITE 205<br><sub>(Street)</sub><br>CALABASAS, CA 91302<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-03-26 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NEONC TECHNOLOGIES HOLDINGS, INC. [ NTHI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2025-03-26 |  | J<sup>(1)</sup> |  | 3996 | D | 0<sup>(2)</sup> | 216459<sup>(3)</sup> | I | By HCWG LLC |
| Common Stock | 2025-03-26 |  | X<sup>(4)</sup> |  | 78125 | A | $12.00 | 294584 | I | By HCWG LLC |
| Common Stock | 2025-03-26 |  | S<sup>(5)</sup> |  | 37500 | D | $25.00 | 257084 | I | By HCWG LLC |
| Common Stock | 2025-03-26 |  | S |  | 964 | D | $19.1299 | 256120 | I | By HCWG |
| Common Stock |  |  |  |  |  |  |  | 2025000<sup>(6)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 550000<sup>(7)</sup> | I | By KIG LLC |
| Common Stock |  |  |  |  |  |  |  | 3714020<sup>(8)</sup> | I | By AFH Holdings & Advisory, LLC. |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Warrant (right to buy) | $12.00 | 2025-03-26 |  | X |  |  | 78125 | 2025-03-26 | <sup>(9)</sup> | Common Stock | 78125 | $0 | 0 | I | By HCWG LLC |

---

### Footnotes:

(1) Transfer of shares held by HCWG LLC ("HCWG") pursuant to agreement.

(2) Not applicable. Number of shares transferred was based on a per share value of $18.

(3) The shares reported as indirectly held herein by HCWG represent only Reporting Person's interest in HCWG.

(4) 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.

(5) In connection with HCWG's cashless exercise of the warrant described herein, Reporting Person paid his proportionate share of the exercise price on a cashless basis. Reporting Person's proportionate withholding from shares issued to HCWG totaled 37,500 warrant shares to pay the exercise price.

(6) Includes (i) 500,000 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.

(7) 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.

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

(9) Not applicable.

**Remarks:**
This Form 4 Amendment is being filed to clarify that the sale of shares referenced in Row 3 of Table I was to the Issuer resulting from the cashless exercise of the warrant and no monetary consideration was received by any party therefor. See footnote 5.

**Signature:** /S/ AMIR F HESHMATPOUR  
**Date:** 2025-06-05

### Remarks:

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.**