SEC Form 4 · accession 0001209191-17-039446
Uni-Pixel · UNXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony J Levecchio
Director
Period of report
Jun 9, 2017
Accepted (ET)
Jun 13, 2017 · 4:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001171012
Table I — non-derivative securities
No Table I lines on this filing.
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,F2,F3 | — | Jun 9, 2017 | A | 100,000 | A | — | — | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1The Restricted Stock Units ("RSUs") were issued pursuant to the terms of the Uni-Pixel, Inc. 2011 Stock Incentive Plan and a Restricted Stock Unit Notice of Grant and Agreement. As the Company's non-employee directors are not Company employees, the Company does not have a tax withholding obligation at the time of vesting, and the individual non-employee director will be responsible for any tax obligations which arises in connection with such vesting.
- F2Each RSU represents a contingent right to receive one share of UniPixel common stock.
- F3The RSUs vest in twelve quarterly installments beginning on August 1, 2017 and ending on May 1, 2020.