Filing Details
- Accession Number:
- 0001185185-13-001971
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-09-04 19:00:50
- Reporting Period:
- 2013-09-03
- Filing Date:
- 2013-09-04
- Accepted Time:
- 2013-09-04 19:00:50
- 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 | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1251608 | W Jeffrey Tomz | 8708 Technology Forest Pl., Ste 100 The Woodlands TX 77381 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-09-03 | 13,334 | $7.50 | 55,448 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-09-03 | 3,334 | $7.50 | 58,782 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-09-03 | 1,667 | $7.50 | 60,449 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-09-03 | 8,665 | $7.50 | 69,114 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-09-03 | 36,000 | $20.00 | 33,114 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Shares | Stock options | Disposition | 2013-09-03 | 13,334 | $0.00 | 13,334 | $7.50 |
| Common Shares | Stock options | Disposition | 2013-09-03 | 3,334 | $0.00 | 3,334 | $7.50 |
| Common Shares | Stock options | Disposition | 2013-09-03 | 1,667 | $0.00 | 1,667 | $7.50 |
| Common Shares | Stock options | Disposition | 2013-09-03 | 8,665 | $0.00 | 8,665 | $7.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2005-04-19 | 2015-04-19 | No | 4 | M | Direct |
| 0 | 2007-09-13 | 2017-09-13 | No | 4 | M | Direct |
| 0 | 2009-01-30 | 2019-01-30 | No | 4 | M | Direct |
| 12,669 | 2010-01-28 | 2020-01-28 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Shares | Stock options | $7.50 | 2010-05-19 | 2020-05-19 | 33,334 | 33,334 | Direct |
| Common Shares | Stock options | $6.93 | 2011-01-21 | 2021-01-21 | 120,000 | 120,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-05-19 | 33,334 | 33,334 | Direct |
| 2021-01-21 | 120,000 | 120,000 | Direct |
Footnotes
- The sales represented in this Form 4 were effected pursuant to a Rule 10b5-1 sales plan adopted by the reporting person on June 3, 2013.
Billionaire Hedge Funds
