UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE
COMMISSION

OMB Number:
3235-0145

 

Washington, D.C. 20549

Expires: December 31, 2005

 

SCHEDULE 13D

Estimated average burden hours per response. . 11

Under the Securities Exchange Act of 1934
(Amendment No.     )*

NEON Systems, Inc.

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

 

640509105

(CUSIP Number)

 

Elizabeth Toner, 12680 High Bluff Drive, #200, San Diego, CA 92130, (858) 259-2500

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

November 18, 2004

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 


 

CUSIP No.   

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
John J. Moores

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 o

 

 

3.

SEC Use Only

 

 

4.

Source of Funds (See Instructions)
PF

 

 

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6.

Citizenship or Place of Organization
US Citizen

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7.

Sole Voting Power
3,230,352

 

8.

Shared Voting Power 
744,265

 

9.

Sole Dispositive Power 
3,230,352

 

10.

Shared Dispositive Power 
744,265

 

 

11.

Aggregate Amount Beneficially Owned by Each Reporting Person 
3,974,617

 

 

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)   o

 

 

13.

Percent of Class Represented by Amount in Row (11) 
43%

 

 

14.

Type of Reporting Person (See Instructions)
IN

 

 

2


 

Item 1.

Security and Issuer

 

Common Stock
NEON Systems, Inc.
4100 Southwest Freeway, Suite 500, Sugarland, Texas

 

 

Item 2.

Identity and Background

 

John J. Moores
12680 High Bluff Drive, #200
San Diego, CA 92130
Occupation:  Investor
Citizenship:  US Citizen

 

 

Item 3.

Source and Amount of Funds or Other Consideration

 

PF (Personal Funds), $1,060,550.90

 

 

Item 4.

Purpose of Transaction

 

Investment

 

 

Item 5.

Interest in Securities of the Issuer

 

Aggregate number and percentage of common stock beneficially owned by John J. Moores:  3,974,617 or 43%
Sole Voting Power & Sole Dispositive Power:  3,230,352
Shared Voting Power & Shared Dispositive Power:  744,265

 

 

Item 6.

Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

 

N/A

 

 

Item 7.

Material to Be Filed as Exhibits

 

N/A

 

3


 

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

11/23/04

 

Date

 


/s/ John J. Moores

 

Signature

 


John J. Moores

 

Name/Title

 

4