SEC Form 4 · accession 0001209191-16-148134
Uni-Pixel · UNXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Malcolm Thompson
Director
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 4:04 pm EDT
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,F2 | Nov 1, 2016 | M | 6,250 | $0.00 | A | 29,167 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (RSUs)F1,F3 | $0.00 | Nov 1, 2016 | M | 6,250 | D | — | — | Common Stock | 6,250 | 62,500 | D |
Explanation of responses
- F16,250 Restricted Stock Units ("RSUs") issued in the grant to Mr. Thompson on 6/8/2016 vested on 11/1/2016 according to the vesting schedule previously reported.
- F2Includes 10,000 shares of restricted common stock that vested 1/3rd on July 31, 2016 and the remaining 2/3rds which will vest 1/3rd on July 31, 2017 and 1/3rd on July 31, 2018, respectively.
- F3The RSUs vest in twelve quarterly installments beginning on August 1, 2016 and ending on May 1, 2019.