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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 | ||||||||
Purchase Warrant | $ 1.12 | 08/17/2016 | P(1) | 106,838 | 02/17/2017 | 02/17/2022 | Common Stock | 106,838 | $ 0 (2) | 106,838 | I | by Wirelesstoys Sweden AB |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Eriksson Bjorn Thomas C/O NEONODE INC. STORGATAN 23C STOCKHOLM, V7 114 55 |
X | President and CEO |
/s/ Lars Lindqvist, Attorney-in-Fact | 08/19/2016 | |
**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) | On August 17, 2016, Wirelesstoys Sweden AB, an entity beneficially owned by Mr. Eriksson, acquired 213,676 shares of Neonode common stock, and a Purchase Warrant to acquire 106,838 additional shares of Neonode common stock, as part of a private placement by Neonode to investors. |
(2) | The value of the Purchase Warrant is included in the $1.17 purchase price for the 213,676 shares of Neonode common stock reported in Table I. |
Remarks: This amendment corrects a typographical error in Table 1 Box 2 regarding the year of the transaction. |