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 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Neonode, Inc [ NEON ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/29/2012 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 04/13/2012 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 03/29/2012 | S | 3,000(1)(2) | D | $3.68(2) | 172,154 | D | |||
Common Stock | 03/30/2012 | S | 1,000(1)(2) | D | $3.65(2) | 171,154 | D | |||
Common Stock | 03/30/2012 | S | 2,800(1)(2) | D | $3.67(2) | 168,354 | D | |||
Common Stock | 03/30/2012 | S | 11,000(1)(2) | D | $3.63(2) | 157,354 | D | |||
Common Stock | 04/02/2012 | S | 6,900(1)(2) | D | $3.66(2) | 150,454 | D | |||
Common Stock | 04/03/2012 | S | 500(1)(2) | D | $3.61(2) | 149,954 | D | |||
Common Stock | 04/05/2012 | S | 48,850(1)(2) | D | $3.25(2) | 101,104(3) | D | |||
Common Stock | 2,754(3)(4) | I | by The RTC Group(5) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. This amendment clarifies the presentation of the share transactions. The original filing aggregated multiple transactions into an aggregate of 74,050 shares sold and provided detail in the explanation of responses as to the dates, amounts, and prices. This amended filing properly reports each transaction separately; however, the aggregate amount of shares sold is unchanged at 74,050 shares as reported in the original filing and this amended filing. |
2. The shares sold were acquired through net exercise of a warrant as separately reported on an additional Form 4 filed by Mr. Reardon on April 13, 2012. |
3. This amendment corrects a miscalculation in the amount of securities beneficially owned as reported in Column 5 of Table I. The original filing reported 103,767 shares directly owned. This amended filing properly reports an aggregate of 103,858 shares directly and indirectly owned. |
4. Reflects the 25-for-1 split of Neonode common stock on March 25, 2011. |
5. Mr. Reardon is the President, Chief Executive Officer, and controlling shareholder of The RTC Group. |
/s/ John Reardon | 08/14/2013 | |
** 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. |