SEC Form 4 · accession 0001209191-17-039462
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
Jun 9, 2017
Accepted (ET)
Jun 13, 2017 · 4:20 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 | 300,000 | A | — | — | Common Stock | 300,000 | 300,000 | 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. The Company will withhold shares of stock subject to the restricted stock units at the time of vesting for the purposes of satisfying any tax withholding obligations which arise 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.