4//SEC Filing
Uni-Pixel 4
Accession 0001181431-08-039752
CIK 0001171012operating
Filed
Jun 18, 8:00 PM ET
Accepted
Jun 19, 4:59 PM ET
Size
20.7 KB
Accession
0001181431-08-039752
Insider Transaction Report
Form 4
Uni-PixelUNXL
PALLOTTA JAMES J
10% Owner
Transactions
- Other
Warrant to Purchase Common Stock
2008-06-17$0.74/sh−575,943$426,198→ 6,839,279 total(indirect: See Footnote)Exercise: $1.24From: 2007-02-13Exp: 2017-02-13→ Common Stock (575,943 underlying) - Other
Series B Preferred Stock
2008-06-17$1.15/sh−1,347,375$1,549,481→ 16,000,000 total(indirect: See Footnote)Exercise: $0.00From: 2007-02-13→ Common Stock (1,347,375 underlying)
TUDOR INVESTMENT CORP ET AL
10% Owner
Transactions
- Other
Warrant to Purchase Common Stock
2008-06-17$0.74/sh−575,943$426,198→ 6,839,279 total(indirect: See Footnote)Exercise: $1.24From: 2007-02-13Exp: 2017-02-13→ Common Stock (575,943 underlying) - Other
Series B Preferred Stock
2008-06-17$1.15/sh−1,347,375$1,549,481→ 16,000,000 total(indirect: See Footnote)Exercise: $0.00From: 2007-02-13→ Common Stock (1,347,375 underlying)
JONES PAUL TUDOR II
Other
Transactions
- Other
Warrant to Purchase Common Stock
2008-06-17$0.74/sh−575,943$426,198→ 6,839,279 total(indirect: See Footnote)Exercise: $1.24From: 2007-02-13Exp: 2017-02-13→ Common Stock (575,943 underlying) - Other
Series B Preferred Stock
2008-06-17$1.15/sh−1,347,375$1,549,481→ 16,000,000 total(indirect: See Footnote)Exercise: $0.00From: 2007-02-13→ Common Stock (1,347,375 underlying)
Footnotes (9)
- [F1]The Preferred Stock is convertible into Common Stock at any time.
- [F2]On July 17, 2008 Tudor Proprietary Trading, L.L.C. ("TPT") transferred its Series B Preferred Stock (which convert one (1) share of Preferred Stock into five (5) shares of Common Stock) (collectively the "Common Stock") and the warrants to purchase Common Stock (the "Warrants") to The Tudor BVI Global Portfolio L.P. (f/k/a The Tudor BVI Global Portfolio Ltd.) ("BVI").
- [F3]The shares of Common Stock (the "Shares") were transferred at the market closing price on June 16, 2008, the day immediately prior to the transfer date. The Warrants were transferred at a price derived using a proprietary option pricing model.
- [F4]Tudor Investment Corporation ("TIC") is the investment adviser or trading advisor to each of BVI and The Raptor Global Portfolio Ltd. ("Raptor"), and the General Partner of The Altar Rock Fund L.P. ("Altar Rock"). The shares of Common Stock as reported herein as indirectly beneficially owned by TIC is directly beneficially owned by BVI (3,849,870 shares), Raptor (12,047,635 shares), and Altar Rock (102,495 shares). Because TIC is the sole General Partner of Altar Rock and provides investment-advisory services to BVI and Raptor, TIC may be deemed to beneficially own the shares of Common Stock owned by each of such entities. TIC disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of its pecuniary interest in such securities.
- [F5]The Shares are reported herein as indirectly beneficially owned by Paul Tudor Jones II. The Shares are owned indirectly by TIC (16,000,000 shares) (see Footnote 4). Because Mr. Jones is the controlling shareholder of TIC, Mr. Jones may be deemed to beneficially own the Shares deemed beneficially owned by TIC. Mr. Jones expressly disclaims such beneficial ownership.
- [F6]The Shares are reported herein as indirectly beneficially owned by James J. Pallotta. The Shares are owned indirectly by TIC (16,000,000 shares) (see Footnote 4). Because Mr. Pallotta is the portfolio manager of TIC with respect to the Shares and may be deemed to have voting and investment authority with respect to the Shares, Mr. Pallotta may be deemed to beneficially own the Shares deemed beneficially owned by each of TIC.
- [F7]The Warrants with an exercise date of February 13, 2007 reported herein as indirectly beneficially owned by TIC are directly beneficially owned by BVI (1,645,647 Warrants), Raptor (5,149,820 Warrants), and Altar Rock (43,812 Warrants). Because TIC provides investment-advisory services to BVI and Raptor, and is the sole General Partner of Altar Rock, TIC may be deemed to beneficially own the Warrants owned by each of such entities. TIC disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of its pecuniary interest in such securities.
- [F8]The Warrants are reported herein as indirectly beneficially owned by Paul Tudor Jones II. The Warrants are owned indirectly by TIC (6,839,279 Warrants) (see Footnote 7). Because Mr. Jones is the controlling shareholder of TIC, Mr. Jones may be deemed to beneficially own the Warrants deemed beneficially owned by TIC. Mr. Jones expressly disclaims such beneficial ownership.
- [F9]The Warrants are reported herein as indirectly beneficially owned by James J. Pallotta. The Warrants are owned indirectly by TIC (6,839,279 Warrants) (see Footnote 7). Because Mr. Pallotta is the portfolio manager of TIC with respect to the Warrants and may be deemed to have voting and investment authority with respect to the Warrants, Mr. Pallotta may be deemed to beneficially own the Warrants deemed beneficially owned by each of TIC. Mr. Pallotta expressly disclaims such beneficial ownership.
Documents
Issuer
Uni-Pixel
CIK 0001171012
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001171012
Filing Metadata
- Form type
- 4
- Filed
- Jun 18, 8:00 PM ET
- Accepted
- Jun 19, 4:59 PM ET
- Size
- 20.7 KB