0001209191-20-045851.txt : 20200810 0001209191-20-045851.hdr.sgml : 20200810 20200810084841 ACCESSION NUMBER: 0001209191-20-045851 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200807 FILED AS OF DATE: 20200810 DATE AS OF CHANGE: 20200810 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rosberg Ulf CENTRAL INDEX KEY: 0001714967 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35526 FILM NUMBER: 201087311 MAIL ADDRESS: STREET 1: FAFNERVAEGEN 2 CITY: DJURSHOLM STATE: V7 ZIP: 18266 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Neonode Inc. CENTRAL INDEX KEY: 0000087050 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 941517641 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: STORGATAN 23C, 114 55 CITY: STOCKHOLM STATE: V7 ZIP: 00000 BUSINESS PHONE: 46 0 8 667 17 17 MAIL ADDRESS: STREET 1: STORGATAN 23C, 114 55 CITY: STOCKHOLM STATE: V7 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: Neonode, Inc DATE OF NAME CHANGE: 20070813 FORMER COMPANY: FORMER CONFORMED NAME: SBE INC DATE OF NAME CHANGE: 19920703 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-08-07 0 0000087050 Neonode Inc. NEON 0001714967 Rosberg Ulf FAFNERVAEGEN 2 DJURSHOLM V7 SWEDEN 1 0 1 0 Common Stock 1589956 I Through UMR Invest AB, an entity owned by Ulf Rosberg Series C-2 5% Convertible Preferred Stock 2020-08-07 4 P 0 1716.728 1000.00 A Common Stock 264112 1716.728 I Through UMR Invest AB, an entity owned by Ulf Rosberg On August 5, 2020, the Issuer entered into a Securities Purchase Agreement with certain institutional and accredited investors (the "Private Placement"). The Private Placement included Series C-2 5% Convertible Preferred Stock (the "Series C-2 Preferred Stock") with a stated value of $1,000 per share. Each share of Series C-2 Preferred Stock will automatically convert into 1,000 shares of the Issuer's Common Stock, based upon a conversion price of $6.50 per share, upon shareholder approvals with respect to the Private Placement, including the issuance to the Reporting Person. The Series C-2 Preferred Stock does not have an expiration date. The shares of Common Stock and Series C-2 Preferred Stock reported herein were acquired by the Reporting Person from the Issuer pursuant to the Private Placement and approved by the Board of Directors, including non-employee directors, of the Issuer. /s/ Maria Ek, attorney-in-fact 2020-08-10