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Filing Details

Accession Number:: 0001140361-12-036682
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2012-08-13 19:21:43
Reporting Period:: 2012-08-09

Filing Date:: 2012-08-13
Accepted Time:: 2012-08-13 19:21:43
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1171012	Uni-Pixel	UNXL	Electronic Components, Nec (3679)	752926437

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1296324	J James Pallotta	C/O Raptor Capital Management Lp 280 Congress, 12Th Floor Boston MA 02210	No	No	Yes	No
1453153	Raptor Group Holdings Lp	Raptor Capital Management Lp 280 Congress, 12Th Floor Boston MA 02210	No	No	Yes	No
1453154	Raptor Holdco Gp Llc	Raptor Capital Management Lp 280 Congress, 12Th Floor Boston MA 02210	No	No	Yes	No
1453155	Raptor Capital Management Lp	280 Congress, 12Th Floor Boston MA 02210	No	No	Yes	No
1454111	Raptor Capital Management Gp Llc	Raptor Capital Management Lp 280 Congress, 12Th Floor Boston MA 02210	No	No	Yes	No
1454119	Raptor Capital Management, Inc	Raptor Capital Management Lp 280 Congress, 12Th Floor Boston MA 02210	No	No	Yes	No
1504098	Trust Liquidating Fund Rock Altar	C/O Raptor Capital Management Lp 280 Congress, 12Th Floor Boston MA 02210	No	No	Yes	No
1504099	Trust Liquidating Portfolio Global Raptor	C/O Raptor Capital Management Lp 280 Congress, 12Th Floor Boston MA 02210	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2012-08-09	1,037,080	$5.25	0	No	4	S	Indirect	See footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	See footnotes

Footnotes

On December 10, 2010, the Common Stock of the Issuer underwent a reverse stock split at a ratio of 1:15, resulting in the reporting persons' ownership of 1,037,080 shares of Common Stock immediately preceding the transaction reported on this line.
The shares of Common Stock to which this relates were held directly by (i) The Altar Rock Fund Liquidating Trust ("Altar Rock") (the liquidating entity for The Altar Rock Fund L.P.) and (ii) The Raptor Global Portfolio Liquidating Trust ("Raptor Global") (the liquidating entity for The Raptor Global Portfolio Ltd.). Raptor Capital Management LP (the "Manager") has voting and dispositive authority over the securities directly owned by Altar Rock and Raptor Global.
Raptor Capital Management GP LLC, a Delaware limited liability company (the "General Partner") is the general partner of the Manager. The General Partner may be deemed to control the Manager and therefore may be deemed to beneficially own securities reported herein. Raptor Group Holdings LP, a Delaware limited partnership ("Group Holdings"), is the managing member of the General Partner. It may be deemed to control the General Partner and therefore may be deemed to beneficially own the securities reported herein. Raptor Holdco GP LLC ("Holdco") is the general partner of Group Holdings. As such, it may be deemed to control Group Holdings and it may be deemed to be the beneficial owner of the securities reported herein.
(continued from footnote 3) Raptor Capital Management, Inc., a Delaware corporation ("RCM, Inc."), is the managing member of Holdco. As such it may be deemed to control Holdco and to be the beneficial owner of the securities reported herein. James J. Pallotta is the Chairman of the Board of Directors, President and Managing Director of RCM, Inc. As such, Mr. Pallotta may be deemed to beneficially own the securities reported herein. Each of the Manager, the General Partner, Group Holdings, Holdco, RCM, Inc. and Mr. Pallotta expressly disclaim beneficial ownership except to the extent of its pecuniary interest therein.