Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Neonode Inc.NEON · Entity 7813 | Director · 10% owner | September 29, 2020 | October 01, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Neonode Inc.
Report date September 29, 2020 · Filed October 01, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough UMR Invest AB, an entity owned by Ulf Rosberg | 1,854,068 |
Reported balance
After 2020-09-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-09-29 · Conversion · Acquired 264,112 · Balance 1,854,068 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. |
| Series C-2 5% Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectThrough UMR Invest AB, an entity owned by Ulf Rosberg | 0 |
Reported balance
After 2020-09-29 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-09-29 · Conversion · Disposed 1,716.728 · Balance 0 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. |
Filing footnotes · ownership attribution and instrument terms
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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 29, 2020 Filed Oct 1, 2020 13:15 UTC | Neonode Inc. NEON · Entity 7813 | ConversionSeries C-2 5% Convertible Preferred Stock · Derivative | 1,716.728 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-052530 · doc4.xml · derivative · entry 2 Rosberg Ulf · CIK 0001714967 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through UMR Invest AB, an entity owned by Ulf Rosberg Disclosed balance after: 0 Underlying: Common Stock · 264,112 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · kind: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 13:15 UTC | Neonode Inc. NEON · Entity 7813 | ConversionCommon Stock | 264,112 | $6.50 | $1,716,728.00 |
DisclosureSEC source: 0001209191-20-052530 · doc4.xml · nonDerivative · entry 1 Rosberg Ulf · CIK 0001714967 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through UMR Invest AB, an entity owned by Ulf Rosberg Disclosed balance after: 1,854,068 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. Read SEC document |
| August 07, 2020 Filed Aug 10, 2020 12:48 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseSeries C-2 5% Convertible Preferred Stock · Derivative | 1,716.728 | $1,000.00 | $1,716,728.00 |
DisclosureSEC source: 0001209191-20-045851 · doc4.xml · derivative · entry 2 Rosberg Ulf · CIK 0001714967 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through UMR Invest AB, an entity owned by Ulf Rosberg Disclosed balance after: 1,716.728 Underlying: Common Stock · 264,112 shares Expires not disclosed F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 22:20 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseCommon Stock | 1,138,796 | $1.60 | $1,822,073.60 |
DisclosureSEC source: 0001209191-19-000353 · doc4.xml · nonDerivative · entry 1 Rosberg Ulf · CIK 0001714967 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By UMR Invest AB, an entity wholly owned by Ulf Rosberg Disclosed balance after: 1,589,956 F1 · balance_after: On October 1, 2018, the common stock of Neonode Inc. underwent a 1-for-10 reverse split, resulting in the reporting person's ownership of 4,511,604 shares of common stock immediately prior to the reverse split being converted into 451,160 shares of common stock immediately after the reverse split. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 16:26 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseCommon stock | 200 | $0.35 | $70.00 |
DisclosureSEC source: 0001209191-18-038242 · doc4.xml · nonDerivative · entry 2 Rosberg Ulf · CIK 0001714967 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By UMR Invest, an entity wholly owned by Ulf Rosberg Disclosed balance after: 4,511,604 Read SEC document |
| June 14, 2018 Filed Jun 18, 2018 16:26 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseCommon stock | 150 | $0.35 | $51.86 |
DisclosureSEC source: 0001209191-18-038242 · doc4.xml · nonDerivative · entry 1 Rosberg Ulf · CIK 0001714967 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By UMR Invest, an entity wholly owned by Ulf Rosberg Disclosed balance after: 4,511,404 Read SEC document |
| June 13, 2018 Filed Jun 14, 2018 16:09 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseCommon stock | 1,100 | $0.35 | $385.00 |
DisclosureSEC source: 0001209191-18-037650 · doc4.xml · nonDerivative · entry 3 Rosberg Ulf · CIK 0001714967 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By UMR Invest, an entity wholly owned by Ulf Rosberg Disclosed balance after: 4,511,254 Read SEC document |
| June 12, 2018 Filed Jun 14, 2018 16:09 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseCommon stock | 215,000 | $0.32 | $69,165.50 |
DisclosureSEC source: 0001209191-18-037650 · doc4.xml · nonDerivative · entry 2 Rosberg Ulf · CIK 0001714967 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By UMR Invest, an entity wholly owned by Ulf Rosberg Disclosed balance after: 4,510,154 Read SEC document |
| June 11, 2018 Filed Jun 14, 2018 16:09 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseCommon stock | 11,282 | $0.32 | $3,571.88 |
DisclosureSEC source: 0001209191-18-037650 · doc4.xml · nonDerivative · entry 1 Rosberg Ulf · CIK 0001714967 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By UMR Invest, an entity wholly owned by Ulf Rosberg Disclosed balance after: 4,295,154 Read SEC document |
| March 22, 2018 Filed Mar 23, 2018 17:06 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseCommon stock | 232,326 | $0.44 | $101,596.16 |
DisclosureSEC source: 0001209191-18-021362 · doc4.xml · nonDerivative · entry 2 Rosberg Ulf · CIK 0001714967 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by UMR Invest AB, an entity wholly owned by Ulf Rosberg Disclosed balance after: 4,283,872 Read SEC document |
| March 21, 2018 Filed Mar 23, 2018 17:06 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseCommon stock | 421,396 | $0.43 | $181,832.37 |
DisclosureSEC source: 0001209191-18-021362 · doc4.xml · nonDerivative · entry 1 Rosberg Ulf · CIK 0001714967 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by UMR Invest AB, an entity wholly owned by Ulf Rosberg Disclosed balance after: 4,051,546 Read SEC document |
| December 07, 2017 Filed Dec 8, 2017 15:25 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseCommon stock | 30,150 | $0.95 | $28,552.05 |
DisclosureSEC source: 0001209191-17-064605 · doc4.xml · nonDerivative · entry 2 Rosberg Ulf · CIK 0001714967 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by UMR Invest AB, an entity wholly owned by Ulf Rosberg Disclosed balance after: 3,630,150 Read SEC document |
| December 06, 2017 Filed Dec 8, 2017 15:25 UTC | Neonode Inc. NEON · Entity 7813 | PurchaseCommon stock | 100,000 | $0.90 | $89,700.00 |
DisclosureSEC source: 0001209191-17-064605 · doc4.xml · nonDerivative · entry 1 Rosberg Ulf · CIK 0001714967 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by UMR Invest AB, an entity wholly owned by Ulf Rosberg Disclosed balance after: 3,600,000 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.