Uni-Pixel Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows, 14 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-11-06: Reporting owner TUDOR INVESTMENT CORP ET AL | JONES PAUL TUDOR II; Form 4; Security Series B Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2009-11-06: Reporting owner RAPTOR GLOBAL PORTFOLIO LTD | RAPTOR CAPITAL MANAGEMENT LP | RAPTOR HOLDCO GP LLC | RAPTOR CAPITAL MANAGEMENT, INC | ALTAR ROCK FUND LP | RAPTOR GROUP HOLDINGS LP | RAPTOR CAPITAL MANAGEMENT GP LLC | PALLOTTA JAMES J; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2009-11-04: Reporting owner MERRILL LYNCH, PIERCE, FENNER & SMITH INC. | BANK OF AMERICA CORP /DE/; Form 5; Security Series C Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2009-01-12: Reporting owner RAPTOR GLOBAL PORTFOLIO LTD | PALLOTTA JAMES J | RAPTOR CAPITAL MANAGEMENT LP | RAPTOR HOLDCO GP LLC; Form 3; Security Series B Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-11-06 | TUDOR INVESTMENT CORP ET AL | JONES PAUL TUDOR II 10% Owner | Other | 4 | Series B Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −769,974 0 owned after | $0.00 | 2009-11-10 | |
| 2009-11-06 | RAPTOR GLOBAL PORTFOLIO LTD | RAPTOR CAPITAL MANAGEMENT LP | RAPTOR HOLDCO GP LLC | RAPTOR CAPITAL MANAGEMENT, INC | ALTAR ROCK FUND LP | RAPTOR GROUP HOLDINGS LP | RAPTOR CAPITAL MANAGEMENT GP LLC | PALLOTTA JAMES J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −2,430,025 0 owned after | $6.40 exercise price | 2009-11-10 | |
| 2009-11-04 | MERRILL LYNCH, PIERCE, FENNER & SMITH INC. | BANK OF AMERICA CORP /DE/ 10% Owner | 10% Owner | 5 | Series C Preferred Stock Derivative · Indirect · By Subsidiary | J Other acquisition or disposition (describe transaction) | −892,858 0 owned after | $1.40 exercise price | 2010-02-04 | |
| 2009-01-12 holding as of filing | RAPTOR GLOBAL PORTFOLIO LTD | PALLOTTA JAMES J | RAPTOR CAPITAL MANAGEMENT LP | RAPTOR HOLDCO GP LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2009-01-12 | ||
| 2009-01-09 holding as of filing | BANK OF AMERICA CORP /DE/ 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnotes. | Holding | no price filed | 2009-01-09 | ||
| 2008-12-31 | TUDOR INVESTMENT CORP ET AL | JONES PAUL TUDOR II Director, 10% Owner | Other | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −2,430,026 769,974 owned after | $0.00 | 2009-01-08 | |
| 2008-06-17 | TUDOR INVESTMENT CORP ET AL | JONES PAUL TUDOR II | PALLOTTA JAMES J 10% Owner | Other (Member of Group) | Other | 4/A | Series B Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −1,347,375 16,000,000 owned after | $1.15 | 2008-07-17 | |
| 2008-06-17 | TUDOR INVESTMENT CORP ET AL | JONES PAUL TUDOR II | PALLOTTA JAMES J 10% Owner | Other (Member of Group) | Other | 4/A | Series B Preferred Stock Derivative · Indirect · See Fottnote | J Other acquisition or disposition (describe transaction) | +1,347,375 16,000,000 owned after | $1.15 | 2008-07-17 | |
| 2008-06-17 | JONES PAUL TUDOR II | TUDOR INVESTMENT CORP ET AL | PALLOTTA JAMES J Other (Member of Group) | 10% Owner | Other | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −1,347,375 16,000,000 owned after | $1.15 | 2008-06-19 | |
| 2008-06-17 | JONES PAUL TUDOR II | TUDOR INVESTMENT CORP ET AL | PALLOTTA JAMES J Other (Member of Group) | 10% Owner | Other | 4 | Series B Preferred Stock Derivative · Indirect · See Fottnote | J Other acquisition or disposition (describe transaction) | +1,347,375 16,000,000 owned after | $1.15 | 2008-06-19 | |
| 2007-10-09 holding as of filing | MERRILL LYNCH PIERCE FENNER & SMITH INC | MERRILL LYNCH & CO INC 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2007-10-09 | ||
| 2007-02-15 holding as of filing | PALLOTTA JAMES J | JONES PAUL TUDOR II | TUDOR INVESTMENT CORP ET AL Other | Other (Member of Group) | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2007-02-15 | ||
| 2007-02-15 holding as of filing | PALLOTTA JAMES J | JONES PAUL TUDOR II | TUDOR INVESTMENT CORP ET AL Other | Other (Member of Group) | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2007-02-15 | ||
| 2007-02-15 holding as of filing | PALLOTTA JAMES J | JONES PAUL TUDOR II | TUDOR INVESTMENT CORP ET AL Other | Other (Member of Group) | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2007-02-15 |