4//SEC Filing
JONES PAUL TUDOR II 4
Accession 0001181431-09-002054
CIK 0001171012other
Filed
Jan 7, 7:00 PM ET
Accepted
Jan 8, 4:42 PM ET
Size
13.3 KB
Accession
0001181431-09-002054
Insider Transaction Report
Form 4
Uni-PixelUNXL
JONES PAUL TUDOR II
Other
Transactions
- Other
Warrant to Purchase Common Stock
2008-12-31−5,193,632→ 1,645,647 total(indirect: See Footnote)Exercise: $1.24From: 2007-02-13Exp: 2017-02-13→ Common Stock (5,193,632 underlying) - Other
Series B Preferred Stock
2008-12-31−2,430,026→ 769,974 total(indirect: See Footnote)Exercise: $0.00From: 2007-02-13→ Common Stock (12,150,130 underlying)
TUDOR INVESTMENT CORP ET AL
10% Owner
Transactions
- Other
Warrant to Purchase Common Stock
2008-12-31−5,193,632→ 1,645,647 total(indirect: See Footnote)Exercise: $1.24From: 2007-02-13Exp: 2017-02-13→ Common Stock (5,193,632 underlying) - Other
Series B Preferred Stock
2008-12-31−2,430,026→ 769,974 total(indirect: See Footnote)Exercise: $0.00From: 2007-02-13→ Common Stock (12,150,130 underlying)
Footnotes (8)
- [F1]The Preferred Stock is convertible into Common Stock at any time.
- [F2]Pursuant to an agreement dated December 31, 2008, by and among Tudor Investment Corporation (?TIC?) and others, TIC transacted a split-off of, among other entities, The Raptor Global Portfolio Ltd., a Cayman Islands corporation (?Raptor?), and The Altar Rock Fund L.P., a Delaware limited partnership (?Altar Rock?) (such split-off, the ?Split-off?). As a result of the Split-off, TIC (i) is no longer the general partner of Altar Rock and (ii) is no longer involved, affiliated or associated with the management or operations of Altar Rock or Raptor, including the provision of investment advisory services. Altar Rock directly owns 20,499 shares of Series B Preferred Stock (?Preferred Shares?) (convertible to 102,495 shares of Common Stock) and 43,812 Warrants to Purchase Common Stock (?Warrants?). Raptor directly owns 2,409,527 Preferred Shares (convertible to 12,047,635 shares of Common Stock) and 5,149,820 Warrants. See Footnote 8 for remainder of Footnote 2.
- [F3]Preferred Shares and Warrants were not attributed a separate price in the Split-off.
- [F4]TIC is the trading advisor to The Tudor BVI Global Portfolio L.P. (f/k/a The Tudor BVI Global Portfolio Ltd.) ("BVI"). The 769,974 Preferred Shares reported herein as indirectly beneficially owned by TIC are directly beneficially owned by BVI. Because TIC provides investment advisory services to BVI, TIC may be deemed to beneficially own the Preferred Shares owned by BVI. TIC disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of its pecuniary interest in such securities.
- [F5]769,974 Preferred Shares may be deemed to be indirectly beneficially owned by TIC (see Footnote 4). Because Jones is the controlling shareholder of TIC, Jones may be deemed to indirectly beneficially own the Preferred Shares deemed indirectly beneficially owned by TIC. Jones expressly disclaims such beneficial ownership.
- [F6]TIC is the trading advisor to BVI. The 1,645,647 Warrants reported herein as indirectly beneficially owned by TIC are directly beneficially owned by BVI. Because TIC provides investment advisory services to BVI, TIC may be deemed to beneficially own the Warrants owned by BVI. TIC disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of its pecuniary interest in such securities.
- [F7]1,645,647 Warrants may be deemed to be indirectly beneficially owned by TIC (see Footnote 6). Because Jones is the controlling shareholder of TIC, Jones may be deemed to indirectly beneficially own the Warrants deemed indirectly beneficially owned by TIC. Jones expressly disclaims such beneficial ownership.
- [F8]As a result of the Split-off, securities owned by Altar Rock and Raptor may no longer be deemed to be beneficially owned by TIC or Paul Tudor Jones, II (?Jones?).
Documents
Issuer
Uni-Pixel
CIK 0001171012
Entity typeother
Related Parties
1- filerCIK 0001270196
Filing Metadata
- Form type
- 4
- Filed
- Jan 7, 7:00 PM ET
- Accepted
- Jan 8, 4:42 PM ET
- Size
- 13.3 KB