SEC Form 4 · accession 0001209191-17-047319
Uni-Pixel · UNXL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sam I Young
Director
Period of report
Aug 1, 2017
Accepted (ET)
Aug 3, 2017 · 4:20 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 | Aug 1, 2017 | M | 8,333 | $0.00 | A | 70,133 | D | |
| Common StockF2 | Aug 1, 2017 | M | 8,335 | $0.00 | A | 78,468 | 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)F3 | $0.00 | Aug 1, 2017 | M | 8,333 | D | — | — | Common Stock | 8,333 | 58,335 | D |
| Restricted Stock Units (RSUs)F4 | $0.00 | Aug 1, 2017 | M | 8,335 | D | — | — | Common Stock | 8,335 | 91,665 | D |
Explanation of responses
- F18,333 Restricted Stock Units ("RSUs") issued in the grant to Mr. Young on 6/8/2016 vested on 8/1/2017 according to the vesting schedule previously reported.
- F28,335 RSUs issued in the grant to Mr. Young on 6/9/2017 vested on 8/1/2017 according to the vesting schedule previously reported.
- F3The RSUs vest in twelve quarterly installments beginning on August 1, 2016 and ending on May 1, 2019.
- F4The RSUs vest in twelve quarterly installments beginning on August 1, 2017 and ending on May 1, 2020.