Neonode Inc. — Director's Dealing 2020

Oct 1, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Neonode Inc. (NEON)
CIK: 0000087050
Period of Report: 2020-09-29

Reporting Person: Rosberg Ulf (Director, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-29	Common Stock	C	264112	$6.50	Acquired	1854068	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-29	Series C-2 5% Convertible Preferred Stock	$	C	1716.728	Disposed		Common Stock (264112)	Indirect

Footnotes

F1: 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 automatically converted 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.