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OMB APPROVAL
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-------- OMB Number: 3235-0104
FORM 3 Expires: December 31, 2001
-------- Estimated average burden
hours per response.... 0.5
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
INITIAL STATEMENT OF 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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person* 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date
Statement Trading Symbol of Original
Poynter James B. (Month/Day/Year) NEON Systems, Inc. (NESY) (Month/Day/Year)
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(Last) (First) (Middle) 7/17/01 5. Relationship of Reporting -----------------------
14100 Southwest Freeway, Suite 500 ---------------------------- Person(s) to Issuer 7. Individual or Joint/
---------------------------------------- 3. I.R.S. Identification (Check all applicable) Group Filing (Check
(Street) Number of Reporting Director 10% Owner Applicable Line)
Person, if an entity ----- ----- X Form filed by
Sugarland Texas 77478 (voluntary) X Officer Other (specify --- One Reporting
-------------------------------------- ----- ----- below) Person
(City) (State) (Zip) ---------------------------- (give title below) Form filed by
Chief Financial Officer --- More than One
------------------------------ Reporting Person
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TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
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1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect
(Instr. 4) Beneficially Owned Direct (D) or Beneficial
(Instr. 4) Indirect (I) Ownership (Instr. 5)
(Instr. 5)
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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 5(b)(v). SEC 1473 (3-99)
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTIONS 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 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED
(e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
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1. Title of Derivative 2. Date Exercisable 3. Title and Amount of 4. Conversion 5. Ownership 6. Nature of Indirect
Security (Instr. 4) and Expiration Securities Underlying or Exercise Form of Beneficial Ownership
Date Derivative Security Price of Derivative (Instr. 5)
(Month/Day/Year) (Instr. 4) Derivative Security:
------------------------------------------------- Security Direct (D) or
Amount or Indirect (I)
Date Expiration Number (Instr. 5)
Exercisable Date Title of Shares
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Stock Options
(Right to Buy)(1) (1) 7/17/11 Common Stock 100,000 $6.88 D
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Explanation of Responses:
(1) Granted under the Issuer's 1999 Long Term Incentive Plan and vesting in four (4) equal installments of 25,000 shares beginning
July 17, 2002.
By /s/ JAMES B. POYNTER July 20, 2001
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James B. Poynter Date
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If
space is insufficient, See Instruction 6 for procedure.
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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SEC 1473 (8-92)