HAWTHORNE JEFFREY ALAN 4

4 · Uni-Pixel · Filed Aug 3, 2017

Form 4

Period: 2017-08-01

Director

Transactions

Exercise/Conversion
Common Stock
2017-08-01+20,835→ 349,252 total
Tax Payment
Common Stock
2017-08-01$0.38/sh−6,263$2,355→ 328,417 total
Tax Payment
Common Stock
2017-08-01$0.38/sh−7,830$2,944→ 341,422 total
Exercise/Conversion
Restricted Stock Units (RSUs)
2017-08-01−16,666→ 116,670 total
Exercise: $0.00→ Common Stock (16,666 underlying)
Exercise/Conversion
Common Stock
2017-08-01+16,666→ 334,680 total
Exercise/Conversion
Restricted Stock Units (RSUs)
2017-08-01−20,835→ 229,165 total
Exercise: $0.00→ Common Stock (20,835 underlying)

Footnotes (8)

[F1]16,666 Restricted Stock Units ("RSUs") issued in the grant to Mr. Hawthorne on 6/8/2016 vested on 8/1/2017 according to the vesting schedule previously reported.
[F2]Includes 100,000 shares of restricted common stock that vested 1/3rd on July 31, 2016, 1/3rd on July 31, 2017, and the remaining 1/3rd which will vest on July 31, 2018.
[F3]6,263 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company.
[F4]The closing price of the Company's common stock on 8/1/2017.
[F5]20,835 RSUs issued in the grant to Mr. Hawthorne on 6/9/2017 vested on 8/1/2017 according to the vesting schedule previously reported.
[F6]7,830 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company.
[F7]The RSUs vest in twelve quarterly installments beginning on August 1, 2016 and ending on May 1, 2019.
[F8]The RSUs vest in twelve quarterly installments beginning on August 1, 2017 and ending on May 1, 2020.

Documents

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