SEC Form 4 · accession 0001209191-17-034311
Uni-Pixel · UNXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Russell Christine
Officer — Chief Financial Officer
Period of report
May 19, 2017
Accepted (ET)
May 22, 2017 · 4:22 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 | May 19, 2017 | P | 13,000 | $0.3968 | A | 272,781 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $0.3915 to $0.3980. The price reported above in Column 4 of Table I reflects the weighted average purchase price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer complete information regarding the number of shares and prices at which each of the individual transactions was effected.
- F2Includes 100,000 shares of restricted common stock that vested 1/3 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.