-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Rt+J0XGFroJn8bKarp8HUaYN+7uZSoEi5LDtDZs202lDzysMqP8WoUSj1xveDD8E F30IGtqsTRaYCEJGSGfajQ== 0001104659-04-003851.txt : 20040212 0001104659-04-003851.hdr.sgml : 20040212 20040212143542 ACCESSION NUMBER: 0001104659-04-003851 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEON SYSTEMS INC CENTRAL INDEX KEY: 0001072978 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 760345839 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-57737 FILM NUMBER: 04590194 BUSINESS ADDRESS: STREET 1: 14100 SOUTHWEST FREEWAY STREET 2: STE 500 CITY: SUGARLAND STATE: TX ZIP: 77478 BUSINESS PHONE: 8005056366 MAIL ADDRESS: STREET 1: 14100 SOUTHWEST FREEWAY STREET 2: STE 500 CITY: SUGARLAND STATE: TX ZIP: 77478 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MOORES JOHN J CENTRAL INDEX KEY: 0001056840 IRS NUMBER: 465721765 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 14100 SOUTHWEST FREEWAY, SUITE 500 CITY: SUGARLAND STATE: TX ZIP: 77478 BUSINESS PHONE: 18005056366 SC 13G/A 1 a04-2319_1sc13ga.htm SC 13G/A

 

 

UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION

OMB Number:
3235-0145

 

Washington, D.C. 20549

Expires:
December 31, 2005

 

SCHEDULE 13G

Estimated average burden hours per response. . 11

 

Under the Securities Exchange Act of 1934
(Amendment No.  1)*

 

NEON Systems, Inc.

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

 

6400509105

(CUSIP Number)

 

December 31, 2003

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

o

Rule 13d-1(c)

ý

Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

CUSIP No. 

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
John J. Moores

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
2,905,702

 

6.

Shared Voting Power
744,265

 

7.

Sole Dispositive Power
2,905,702

 

8.

Shared Dispositive Power
744,265

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
3,649,967

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
41%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

2

 

Item 1.

 

(a)

Name of Issuer
NEON Systems, Inc.

 

(b)

Address of Issuer’s Principal Executive Offices
14100 Southwest Freeway, Suite 500, Sugarland, Texas

 

Item 2.

 

(a)

Name of Person Filing
John J. Moores

 

(b)

Address of Principal Business Office or, if none, Residence
12480 High Bluff Drive #200, San Diego, CA 92130

 

(c)

Citizenship
U.S. Citizen

 

(d)

Title of Class of Securities
Common Stock

 

(e)

CUSIP Number
6400509105

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

o

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

o

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

o

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

(h)

o

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

o

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

3

 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned:   

3,649,967

 

(b)

Percent of class:   

41%

 

(c)

Number of shares as to which the person has:

 

 

(i)

Sole power to vote or to direct the vote   

2,905,702

 

 

(ii)

Shared power to vote or to direct the vote    

744,265

 

 

(iii)

Sole power to dispose or to direct the disposition of   

2,905,702

 

 

(iv)

Shared power to dispose or to direct the disposition of   

744,265

 

Item 5.

Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following   o.

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

 

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

 

 

Item 8.

Identification and Classification of Members of the Group

 

 

Item 9.

Notice of Dissolution of Group

 

 

Item 10.

Certification

 

 

4

 

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

 

February 12, 2004

 

Date

 


/s/ John J. Moores

 

Signature

 


John J. Moores

 

Name/Title

 

5

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