SEC Form 4 · accession 0001209191-15-082514
Uni-Pixel · UNXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Alan Hawthorne
Officer — CEO and President · Director
Period of report
Nov 30, 2015
Accepted (ET)
Nov 30, 2015 · 6:11 pm 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 30, 2015 | A | 15,359 | $0.00 | A | 265,359 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As previously reported by Uni-Pixel, Inc. (the "Company") in its Current Report on Form 8-K as filed with the SEC on August 5, 2015, and as amended on August 10, 2015, Mr. Hawthorne agreed to take a portion of his salary for the period beginning on August 1, 2015 through December 31, 2015 in shares of the Company's common stock. The common stock reported in this Form 4 is issued under the Company's 2011 Stock Incentive Plan.