Filing Details
- Accession Number:
- 0001213900-13-004419
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-14 19:30:53
- Reporting Period:
- 2013-08-12
- Filing Date:
- 2013-08-14
- Accepted Time:
- 2013-08-14 19:30:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 87050 | Neonode Inc | NEON | Electronic Components, Nec (3679) | 941517641 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1283973 | Ralph John Reardon | 3180 Sitio Sendero Carlsbad CA 92009 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-08-12 | 80,000 | $1.38 | 161,958 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2013-08-12 | 14,678 | $7.49 | 147,280 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant | Disposition | 2013-08-12 | 80,000 | $0.00 | 80,000 | $1.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-04-15 | 2013-10-15 | No | 4 | X | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,754 | Indirect | by The RTC Group |
Footnotes
- Mr. Reardon exercised a warrant to purchase 80,000 shares of Neonode common stock (reflecting the 25-for-1 reverse stock split on March 25, 2011) and utilized a net exercise provision of the warrant. As a result, Mr. Reardon was issued a net of 65,322 shares. The $7.494 net exercise disposition value reflects the average price of Neonode common stock for the five days prior to the exercise.
- Reflects a correction in the nature and amount of securities beneficially owned as reported in the two Form 4 amendments filed by Mr. Reardon on August 14, 2013 with respect to Forms 4 originally filed on January 27, 2009 and March 29, 2012. Also, the Form 4 filed by Mr. Reardon on May 17, 2013 incorrectly reported the amount beneficially owned by Mr. Reardon following that transaction; such amount was reported as an aggregate of 81,667 shares beneficially owned but properly was reportable as an aggregate 81,958 shares beneficially owned, of which 2,754 shares were owned indirectly by The RTC Group.
- Mr. Reardon is President, Chief Executive Officer, and controlling shareholder, of The RTC Group.
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