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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant (1) | $ 1.375 | 08/12/2013 | X | 80,000 | 04/15/2011 | 10/15/2013 | Common Stock | 80,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
REARDON JOHN RALPH 3180 SITIO SENDERO CARLSBAD, CA 92009 |
X |
/s/ John Reardon | 08/14/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | 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. |
(2) | 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. |
(3) | Mr. Reardon is President, Chief Executive Officer, and controlling shareholder, of The RTC Group. |