4//SEC Filing
JONES PAUL TUDOR II 4
Accession 0001181431-09-050893
CIK 0001171012other
Filed
Nov 9, 7:00 PM ET
Accepted
Nov 10, 5:13 PM ET
Size
14.5 KB
Accession
0001181431-09-050893
Insider Transaction Report
Form 4
Uni-PixelUNXL
TUDOR INVESTMENT CORP ET AL
10% Owner
Transactions
- Other
Common Stock
2009-11-06+4,929,111→ 4,929,111 total(indirect: See Footnotes) - Other
Series B Preferred Stock
2009-11-06−769,974→ 0 total(indirect: See Footnotes)Exercise: $0.00From: 2007-02-13→ Common Stock (4,929,111 underlying) - Other
Warrant to Purchase Common Stock
2009-11-06−1,645,647→ 0 total(indirect: See Footnotes)Exercise: $1.24From: 2007-02-13Exp: 2017-02-13→ Common Stock (1,645,647 underlying)
JONES PAUL TUDOR II
Other
Transactions
- Other
Common Stock
2009-11-06+4,929,111→ 4,929,111 total(indirect: See Footnotes) - Other
Series B Preferred Stock
2009-11-06−769,974→ 0 total(indirect: See Footnotes)Exercise: $0.00From: 2007-02-13→ Common Stock (4,929,111 underlying) - Other
Warrant to Purchase Common Stock
2009-11-06−1,645,647→ 0 total(indirect: See Footnotes)Exercise: $1.24From: 2007-02-13Exp: 2017-02-13→ Common Stock (1,645,647 underlying)
Footnotes (6)
- [F1]The Series B Preferred Stock (the "Preferred Stock") of Uni-Pixel, Inc. (the "Company") was reclassified into Common Stock of the Company (the "Common Stock")(collectively, the "Reclassification"), with an effective date of November 6, 2009. The Tudor BVI Global Portfolio L.P. ("BVI") was a holder of the Preferred Stock (769,974.40 shares), and in connection with the Reclassification of the Preferred Stock to the Common Stock (3,849,872 shares) also received additional Common Stock relating to accrued and additionally awarded dividends (1,079,239 shares).
- [F2]Tudor Investment Corporation ("TIC") is the trading advisor to BVI. The 4,929,111 shares of Common Stock 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 Common Stock 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. Because Paul Tudor Jones ("Jones") is the controlling shareholder of TIC, Jones may be deemed to indirectly beneficially own the Common Stock deemed indirectly beneficially owned by TIC. Jones expressly disclaims such beneficial ownership.
- [F3]In connection with the Reclassification, this Warrant to Purchase Common Stock (the "Warrant") held by BVI was canceled, and a new warrant to purchase 1,896,495 shares of Common Stock was issued to BVI (the "New Warrant"). By the terms of the New Warrant it prohibits exercise within sixty (60) days to the extent that such exercise would cause BVI to own in excess of 9.99% of the Common Stock.
- [F4]TIC is the trading advisor to BVI. The 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.
- [F5]The Warrants may be deemed to be indirectly beneficially owned by TIC (see Footnote 5). 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.
- [F6]The Preferred Stock was convertible into Common Stock at any time.
Documents
Issuer
Uni-Pixel
CIK 0001171012
Entity typeother
Related Parties
1- filerCIK 0001270196
Filing Metadata
- Form type
- 4
- Filed
- Nov 9, 7:00 PM ET
- Accepted
- Nov 10, 5:13 PM ET
- Size
- 14.5 KB