SEC Form 4 · accession 0001209191-15-082387
Uni-Pixel · UNXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony J Levecchio
Director
Period of report
Nov 25, 2015
Accepted (ET)
Nov 30, 2015 · 9:45 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001171012
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 25, 2015 | P | 29,400 | $0.85 | A | 58,200 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1,F2 | $1.50 | Nov 25, 2015 | P | 29,400 | A | Nov 30, 2015 | Nov 30, 2020 | Common Stock | 29,400 | 29,400 | D |
Explanation of responses
- F1On November 24, 2015, as announced by Uni-Pixel, Inc. (the "Company") and as disclosed in the Company's Current Report on Form 8-K as filed with the Securities and Exchange Commission on the same date, the Company entered into subscription agreements with investors for the sale of units in a public offering. Each unit consists of one share of common stock and one warrant to purchase one share of common stock. Mr. LeVecchio subscribed for 29,400 units in the public offering, as reported in this Form 4.
- F2The purchase price is $0.85 per unit to be paid by the investors in the public offering.