Skip to main content

NEONC TECHNOLOGIES HOLDINGS, INC.

For the period ended Jun 30, 2026. Filed Aug 10, 2026.

View on SEC.gov

About this filing

A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Jun 30, 2026 · Filed Aug 10, 2026

NTHI$4.37+16.8%Stored close · as of Nov 10, 2026

Extracted filing text, with the paragraph anchors used by the comparison.

See the whole filing, with its images and exhibits

Item 5. Other Information

Rule* *10b5-1 Trading Arrangements

On December 18, 2025, Yousha Neman-Ebrahim, Chief Clinical Officer, adopted a written plan for the sale of shares of our common stock that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. The plan provides for the sale of up to 25% of the net shares of common stock issued to Mr. Neman-Ebrahim upon each vesting of shares of restricted stock, with the actual number of shares subject to each sale to be determined at the time of the applicable vesting event. The plan will expire on March 18, 2027, or on any earlier date on which all of the shares authorized for sale have been sold.

On December 18, 2025, Axel Schonthal, Directors, adopted a written plan for the sale of up to 8,000 shares of our common stock that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. The plan will expire on January 17, 2027, or on any earlier date on which all of the shares have been sold.

On June 16, 2026, Thomas Chen, Founder and Chief Medical Officer, adopted a written plan for the sale of up to 40,000 shares of our common stock that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. The plan will expire on September 15, 2027, or on any earlier date on which all of the shares have been sold.

On June 16, 2026, Keithly Garnett, Chief Financial Officer, adopted a written plan for the sale of up to 50,000 shares of our common stock that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. The plan will expire on September 15, 2027, or on any earlier date on which all of the shares have been sold.

On June 16, 2026, David Choi, Chief Accounting Officer, adopted a written plan for the sale of up to 22,000 shares of our common stock that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. The plan will expire on September 15, 2027, or on any earlier date on which all of the shares have been sold.

On June 17, 2026, Jim Delshad, Directors, adopted a written plan for the sale of up to 15,000 shares of our common stock that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. The plan will expire on September 16, 2027, or on any earlier date on which all of the shares have been sold.

On June 23, 2026, Ming-Fu Chiang, Directors, adopted a written plan for the sale of up to 55,000 shares of our common stock that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. The plan will expire on September 26, 2027, or on any earlier date on which all of the shares have been sold.

Other than as noted above, none of our directors or officers, as defined in Rule 16a-1(f) under the Exchange Act, adopted or terminated a Rule 10b5-1 trading plan or arrangement or a non-Rule 10b5-1 trading plan or arrangement, as defined in Item 408(c) of Regulation S-K, during the three months ended June 30, 2026.

ContentsView on SEC.gov

The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.