Uni-Pixel Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2015-04-17: Federal exemption Rule 506(b); Types of securities offered Debt; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2015-04-16; Total offering amount $20,000,000.
- 2010-01-11: Federal exemption Rule 506; Types of securities offered Debt; OptionToAcquire; Convertible Debt and Common Stock Purchase Warrant; Date of first sale 2009-08-27; Total offering amount $3,000,000.
- 2009-12-09: Federal exemption Rule 506; Types of securities offered Debt; OptionToAcquire; Convertible Debt and Common Stock Purchase Warrants; Date of first sale Yet to occur; Total offering amount $3,000,000.
- 2009-08-27: Federal exemption Rule 506; Types of securities offered Debt; OptionToAcquire; Convertible Debt and Common Stock Purchase Warrant; Date of first sale Yet to occur; Total offering amount $3,000,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2015-04-17 | Rule 506(b) | Debt; OptionToAcquire; SecurityToBeAcquired | 2015-04-16 | $20,000,000 | $15,000,000 | $5,000,000 | 2 |
| 2010-01-11 D/A | Rule 506 | Debt; OptionToAcquire; Convertible Debt and Common Stock Purchase Warrant | 2009-08-27 | $3,000,000 | $1,425,000 | $1,575,000 | 0 |
| 2009-12-09 | Rule 506 | Debt; OptionToAcquire; Convertible Debt and Common Stock Purchase Warrants | Yet to occur | $3,000,000 | $0 | $3,000,000 | 0 |
| 2009-08-27 | Rule 506 | Debt; OptionToAcquire; Convertible Debt and Common Stock Purchase Warrant | Yet to occur | $3,000,000 | $0 | $3,000,000 | 0 |
| 2009-05-11 | Rule 506 | OptionToAcquire; Convertible Debt | Yet to occur | $3,000,000 | $0 | $3,000,000 | 0 |