Uni-Pixel Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 2 rows, 2 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-12-10: Reporting owner BANK OF AMERICA CORP /DE/ | MERRILL LYNCH, PIERCE, FENNER & SMITH INC.; Form 4; Security Convertible Promissory Note; Transaction C Conversion of derivative security.
- 2010-03-15: Reporting owner BANK OF AMERICA CORP /DE/ | MERRILL LYNCH, PIERCE, FENNER & SMITH INC.; Form 4; Security Convertible Promissory Note; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-12-10 | BANK OF AMERICA CORP /DE/ | MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 10% Owner | 10% Owner | 4 | Convertible Promissory Note Derivative · Indirect · By subsidiary | C Conversion of derivative security | 0 owned after | $5.00 exercise price | 2011-02-11 | |
| 2010-03-15 | BANK OF AMERICA CORP /DE/ | MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 10% Owner | 10% Owner | 4 | Convertible Promissory Note Derivative · Indirect · By Subsidiary | P Open market or private purchase of non-derivative or derivative security | +150,000 600,000 owned after | $0.50 exercise price | 2010-03-17 |