4//SEC Filing
ALTAR ROCK FUND LP 4
Accession 0000902664-09-003827
CIK 0001171012other
Filed
Nov 9, 7:00 PM ET
Accepted
Nov 10, 3:46 PM ET
Size
25.3 KB
Accession
0000902664-09-003827
Insider Transaction Report
Form 4
Uni-PixelUNXL
RAPTOR HOLDCO GP LLC
10% Owner
Transactions
- Conversion
Series B Preferred Stock
2009-11-06−2,430,025→ 0 total(indirect: See Footnote)Exercise: $6.40→ Preferred Stock (12,150,128 underlying) - Conversion
Common Stock
2009-11-06+15,556,187→ 15,556,187 total(indirect: See Footnotes) - Conversion
Warrants to Purchase Common Stock
2009-11-06+5,985,302→ 5,985,302 total(indirect: See Footnote)Exercise: $0.50→ Common Stock (5,985,302 underlying) - Conversion
Warrants to Purchase Common Stock
2009-11-06−5,193,632→ 0 total(indirect: See Footnote)Exercise: $1.24→ Common Stock (5,193,632 underlying)
RAPTOR CAPITAL MANAGEMENT, INC
10% Owner
Transactions
- Conversion
Warrants to Purchase Common Stock
2009-11-06−5,193,632→ 0 total(indirect: See Footnote)Exercise: $1.24→ Common Stock (5,193,632 underlying) - Conversion
Series B Preferred Stock
2009-11-06−2,430,025→ 0 total(indirect: See Footnote)Exercise: $6.40→ Preferred Stock (12,150,128 underlying) - Conversion
Warrants to Purchase Common Stock
2009-11-06+5,985,302→ 5,985,302 total(indirect: See Footnote)Exercise: $0.50→ Common Stock (5,985,302 underlying) - Conversion
Common Stock
2009-11-06+15,556,187→ 15,556,187 total(indirect: See Footnotes)
ALTAR ROCK FUND LP
10% Owner
Transactions
- Conversion
Common Stock
2009-11-06+15,556,187→ 15,556,187 total(indirect: See Footnotes) - Conversion
Warrants to Purchase Common Stock
2009-11-06−5,193,632→ 0 total(indirect: See Footnote)Exercise: $1.24→ Common Stock (5,193,632 underlying) - Conversion
Series B Preferred Stock
2009-11-06−2,430,025→ 0 total(indirect: See Footnote)Exercise: $6.40→ Preferred Stock (12,150,128 underlying) - Conversion
Warrants to Purchase Common Stock
2009-11-06+5,985,302→ 5,985,302 total(indirect: See Footnote)Exercise: $0.50→ Common Stock (5,985,302 underlying)
PALLOTTA JAMES J
10% Owner
Transactions
- Conversion
Common Stock
2009-11-06+15,556,187→ 15,556,187 total(indirect: See Footnotes) - Conversion
Series B Preferred Stock
2009-11-06−2,430,025→ 0 total(indirect: See Footnote)Exercise: $6.40→ Preferred Stock (12,150,128 underlying) - Conversion
Warrants to Purchase Common Stock
2009-11-06+5,985,302→ 5,985,302 total(indirect: See Footnote)Exercise: $0.50→ Common Stock (5,985,302 underlying) - Conversion
Warrants to Purchase Common Stock
2009-11-06−5,193,632→ 0 total(indirect: See Footnote)Exercise: $1.24→ Common Stock (5,193,632 underlying)
RAPTOR CAPITAL MANAGEMENT LP
10% Owner
Transactions
- Conversion
Warrants to Purchase Common Stock
2009-11-06−5,193,632→ 0 total(indirect: See Footnote)Exercise: $1.24→ Common Stock (5,193,632 underlying) - Conversion
Common Stock
2009-11-06+15,556,187→ 15,556,187 total(indirect: See Footnotes) - Conversion
Warrants to Purchase Common Stock
2009-11-06+5,985,302→ 5,985,302 total(indirect: See Footnote)Exercise: $0.50→ Common Stock (5,985,302 underlying) - Conversion
Series B Preferred Stock
2009-11-06−2,430,025→ 0 total(indirect: See Footnote)Exercise: $6.40→ Preferred Stock (12,150,128 underlying)
RAPTOR GLOBAL PORTFOLIO LTD
10% Owner
Transactions
- Conversion
Series B Preferred Stock
2009-11-06−2,430,025→ 0 total(indirect: See Footnote)Exercise: $6.40→ Preferred Stock (12,150,128 underlying) - Conversion
Warrants to Purchase Common Stock
2009-11-06−5,193,632→ 0 total(indirect: See Footnote)Exercise: $1.24→ Common Stock (5,193,632 underlying) - Conversion
Common Stock
2009-11-06+15,556,187→ 15,556,187 total(indirect: See Footnotes) - Conversion
Warrants to Purchase Common Stock
2009-11-06+5,985,302→ 5,985,302 total(indirect: See Footnote)Exercise: $0.50→ Common Stock (5,985,302 underlying)
RAPTOR CAPITAL MANAGEMENT GP LLC
10% Owner
Transactions
- Conversion
Common Stock
2009-11-06+15,556,187→ 15,556,187 total(indirect: See Footnotes) - Conversion
Warrants to Purchase Common Stock
2009-11-06−5,193,632→ 0 total(indirect: See Footnote)Exercise: $1.24→ Common Stock (5,193,632 underlying) - Conversion
Warrants to Purchase Common Stock
2009-11-06+5,985,302→ 5,985,302 total(indirect: See Footnote)Exercise: $0.50→ Common Stock (5,985,302 underlying) - Conversion
Series B Preferred Stock
2009-11-06−2,430,025→ 0 total(indirect: See Footnote)Exercise: $6.40→ Preferred Stock (12,150,128 underlying)
RAPTOR GROUP HOLDINGS LP
10% Owner
Transactions
- Conversion
Common Stock
2009-11-06+15,556,187→ 15,556,187 total(indirect: See Footnotes) - Conversion
Warrants to Purchase Common Stock
2009-11-06−5,193,632→ 0 total(indirect: See Footnote)Exercise: $1.24→ Common Stock (5,193,632 underlying) - Conversion
Series B Preferred Stock
2009-11-06−2,430,025→ 0 total(indirect: See Footnote)Exercise: $6.40→ Preferred Stock (12,150,128 underlying) - Conversion
Warrants to Purchase Common Stock
2009-11-06+5,985,302→ 5,985,302 total(indirect: See Footnote)Exercise: $0.50→ Common Stock (5,985,302 underlying)
Footnotes (7)
- [F1]This Form 4 is being filed to report securities, including common stock and warrants directly owned by The Raptor Global Portfolio Ltd., a Cayman Islands exempted company (the "Master Fund") and The Altar Rock Fund Liquidating Trust ("Altar Rock"). Raptor Capital Management LP (the "Manager") has voting and dispositive authority over the securities directly owned by the Master Fund and Altar Rock.
- [F2]On November 6, 2009, the Reporting Persons surrendered and exchanged (i) 2,430,025 shares of Uni-Pixel, Inc. Series B Preferred Stock for 15,556,187 shares of Uni-Pixel, Inc. common stock and (ii) 5,193,632 warrants to purchase 5,193,632 shares of Common Stock of Uni-Pixel, Inc. for a purchase price of $1.24 per share for 5,985,302 warrants to purchase 5,985,302 shares of Common Stock of Uni-Pixel, Inc. for a purchase price of $0.50 per share pursuant to the Amended and Restated Preferred Stock Conversion Agreement dated November 6, 2009.
- [F3]Raptor Capital Management GP LLC, a Delaware limited liability company (the "General Partner") is the general partner of the Manager. The General Partner may be deemed to control the Manager and therefore may be deemed to beneficially own securities reported herein. Raptor Group Holdings LP, a Delaware limited partnership ("Group Holdings"), is the managing member of the General Partner. It may be deemed to control the General Partner and therefore may be deemed to beneficially own the securities reported herein. Raptor Holdco GP LLC ("Holdco") is the general partner of Group Holdings. As such, it may be deemed to control Group Holdings and it may be deemed to be the beneficial owner of the securities reported herein.
- [F4]Raptor Capital Management, Inc., a Delaware corporation ("RCM, Inc."), is the managing member of Holdco. As such it may be deemed to control Holdco and to be the beneficial owner of the securities reported herein. James J. Pallotta is the Chairman of the Board of Directors, President and Managing Director of RCM, Inc. As such, Mr. Pallotta may be deemed to beneficially own the securities reported herein. Each of the Manager, the General Partner, Group Holdings, Holdco, RCM, Inc. and Mr. Pallotta expressly disclaim beneficial ownership except to the extent of its pecuniary interest therein.
- [F5]The Series B Convertible Preferred Stock was convertible at any time and had no expiration date.
- [F6]The original warrants were exercisable until November 6, 2009 when they were forfeited and exchanged pursuant to the Amended and Restated Preferred Stock Conversion Agreement dated November 6, 2009.
- [F7]The new warrants are currently exercisable and have an expiration date of October 31, 2019.
Documents
Issuer
Uni-Pixel
CIK 0001171012
Entity typeother
Related Parties
1- filerCIK 0001096303
Filing Metadata
- Form type
- 4
- Filed
- Nov 9, 7:00 PM ET
- Accepted
- Nov 10, 3:46 PM ET
- Size
- 25.3 KB