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- ------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION --------------------------
FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL
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[ ] CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB Number: 3235-0287
LONGER SUBJECT TO Expires: December 31, 2001
SECTION 16. FORM 4 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Estimated average burden
OR FORM 5 OBLIGATIONS Section 17(a) of the Public Utility Holding Company Act of 1935 hours per response.... 0.5
MAY CONTINUE. SEE or Section 30(f) of the Investment Company Act of 1940 --------------------------
INSTRUCTION 1(b).
(Print or Type Responses)
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1. Name and Address of Reporting Person* 2. Issuer Name AND Ticker or Trading Symbol 6. Relationship of Reporting Person(s)
Schaeffer Peter NEON Systems, Inc. (NESY) to Issuer (Check all applicable)
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(Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- ---
Number of Reporting Month/Year X Officer (give Other (Specify
14100 Southwest Freeway, Suite 500 Person (Voluntary) 9/99 ---- title --- below)
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(Street) 5. If Amendment,
Dallas TX 77478 Date of Original Chief Technology Officer
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(City) (State) (Zip) 7. Individual or Joint/Group Filing
------------- (Check Applicable Line)
X Form filed by One Reporting
--- Person
Form filed by More than One
--- Reporting Person
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TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature
(Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In-
Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct
(Instr. 8) End of Month Direct Benefi-
(Month/ (Instr. 3 and 4) (D) or cial
Day/ ------------------------------------ Indirect Owner-
Year) Code V Amount (A) or Price (I) ship
(D) (Instr. 4) (Instr. 4)
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Common Stock 9/2/99 S 100,000 D 1,341,000 D
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)
* If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC 1474 (3-99)
POTENTIAL PERSONS WHO ARE TO 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.
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FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative Security 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- 6. Date Exer-
(Instr. 3) sion or action tion Code ative Securities Ac- cisable and Ex-
Exercise Date (Instr. 8) quired (A) or Dis- piration Date
Price of (Month/ posed of (D) (Month/Day/
Deriv- Day/ (Instr. 3, 4, and 5) Year)
ative Year)
Security
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Date Expira-
------------------------------------- Exer- tion
cisable Date
Code V (A) (D)
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7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Nature
lying Securities of of Deriv- ship of In-
(Instr. 3 and 4) Deriv- ative Form direct
ative Securi- of De- Bene-
Secur- ties rivative ficial
ity Bene- Secu- Own-
(Instr. ficially rity: ership
5) Owned Direct (Instr. 4)
at End (D) or
Amount or of Indi-
Title Number of Month rect (I)
Shares (Instr. 4) (Instr. 4)
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Explanation of Responses:
/s/ John Reiland* 10/12/99
**Intentional misstatements or omissions of facts constitute -------------------------------------- --------
Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date
*as attorney in fact
Note: File three copies of this Form, one of which must be manually signed. Page 2
If space is insufficient, SEE Instruction 6 for procedure. SEC 1474 (3-99)
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
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