Uni-Pixel Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 88 rows, 88 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-04: Reporting owner Van Ostrand Daniel K; Form 4; Security Stock options; Transaction Holding.
- 2014-12-04: Reporting owner Van Ostrand Daniel K; Form 4; Security Stock options; Transaction Holding.
- 2014-12-04: Reporting owner Van Ostrand Daniel K; Form 4; Security Stock options; Transaction Holding.
- 2014-12-04: Reporting owner Van Ostrand Daniel K; Form 4; Security Stock options; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-04 holding as of filing | Van Ostrand Daniel K Other (Former Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 1,667 owned after | $7.50 exercise price | 2014-12-04 | |
| 2014-12-04 holding as of filing | Van Ostrand Daniel K Other (Former Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 33,334 owned after | $7.50 exercise price | 2014-12-04 | |
| 2014-12-04 holding as of filing | Van Ostrand Daniel K Other (Former Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 120,000 owned after | $6.93 exercise price | 2014-12-04 | |
| 2014-12-04 holding as of filing | Van Ostrand Daniel K Other (Former Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 4,000 owned after | $7.13 exercise price | 2014-12-04 | |
| 2014-09-18 holding as of filing | Kholodenko Arnold Officer (SR VP R&D) | 3 | Stock option Derivative · Direct | Holding | $7.41 exercise price | 2014-09-18 | ||
| 2014-08-20 holding as of filing | THOMPSON MALCOLM Director | 3 | Stock option Derivative · Direct | Holding | $8.15 exercise price | 2014-08-20 | ||
| 2014-04-14 holding as of filing | Rusenko Robert Anthony Officer (Chief Operating Officer) | 3 | Stock option Derivative · Direct | Holding | $36.20 exercise price | 2014-04-14 | ||
| 2014-03-31 | Shin Seong Sik Other (Former Chief Operating Officer) | 4 | Stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $7.13 exercise price | 2014-03-31 | |
| 2013-12-31 holding as of filing | PETCAVICH ROBERT J Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 33,334 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | PETCAVICH ROBERT J Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 1,667 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | PETCAVICH ROBERT J Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 80,000 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | PETCAVICH ROBERT J Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 160,000 owned after | $6.93 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 3,669 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 33,334 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 120,000 owned after | $6.93 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 1,667 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 33,334 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 120,000 owned after | $6.93 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 4,000 owned after | $7.13 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Killion Reed J Director, Officer (Former Chief Executive Officer) | 4 | Stock options Derivative · Direct | Holding | 30,000 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Killion Reed J Director, Officer (Former Chief Executive Officer) | 4 | Stock options Derivative · Direct | Holding | 54,000 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Killion Reed J Director, Officer (Former Chief Executive Officer) | 4 | Stock options Derivative · Direct | Holding | 13,500 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Killion Reed J Director, Officer (Former Chief Executive Officer) | 4 | Stock options Derivative · Direct | Holding | 1,667 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Killion Reed J Director, Officer (Former Chief Executive Officer) | 4 | Stock options Derivative · Direct | Holding | 66,667 owned after | $7.50 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Killion Reed J Director, Officer (Former Chief Executive Officer) | 4 | Stock options Derivative · Direct | Holding | 200,000 owned after | $6.93 exercise price | 2013-12-31 | |
| 2013-12-31 holding as of filing | Killion Reed J Director, Officer (Former Chief Executive Officer) | 4 | Stock options Derivative · Direct | Holding | 4,000 owned after | $7.13 exercise price | 2013-12-31 | |
| 2013-10-14 | Berkoff Bruce I Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 25,334 owned after | $6.93 exercise price | 2013-10-16 | |
| 2013-10-04 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 33,334 owned after | $7.50 exercise price | 2013-10-04 | |
| 2013-10-04 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 120,000 owned after | $6.93 exercise price | 2013-10-04 | |
| 2013-10-04 holding as of filing | LEVECCHIO ANTHONY J Director | 4 | Stock Options Derivative · Direct | Holding | 6,667 owned after | $7.50 exercise price | 2013-10-04 | |
| 2013-10-04 holding as of filing | YANKOWSKI CARL Director | 4 | Stock Options Derivative · Direct | Holding | 6,667 owned after | $7.50 exercise price | 2013-10-04 | |
| 2013-10-04 holding as of filing | YANKOWSKI CARL Director | 4 | Stock Options Derivative · Direct | Holding | 14,667 owned after | $7.50 exercise price | 2013-10-04 | |
| 2013-10-02 | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 3,669 owned after | $7.50 exercise price | 2013-10-04 | |
| 2013-10-02 | LEVECCHIO ANTHONY J Director | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 12,000 owned after | $6.00 exercise price | 2013-10-04 | |
| 2013-10-02 | YANKOWSKI CARL Director | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 54,667 owned after | $7.50 exercise price | 2013-10-04 | |
| 2013-10-02 | Young Ross Adam Director | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 37,334 owned after | $6.93 exercise price | 2013-10-04 | |
| 2013-09-25 | Berkoff Bruce I Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 30,334 owned after | $6.93 exercise price | 2013-09-26 | |
| 2013-09-04 holding as of filing | LEVECCHIO ANTHONY J Director | 4 | Stock Options Derivative · Direct | Holding | 6,667 owned after | $7.50 exercise price | 2013-09-04 | |
| 2013-09-04 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 33,334 owned after | $7.50 exercise price | 2013-09-04 | |
| 2013-09-04 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 120,000 owned after | $6.93 exercise price | 2013-09-04 | |
| 2013-09-04 holding as of filing | YANKOWSKI CARL Director | 4 | Stock Options Derivative · Direct | Holding | 6,667 owned after | $7.50 exercise price | 2013-09-04 | |
| 2013-09-04 holding as of filing | YANKOWSKI CARL Director | 4 | Stock Options Derivative · Direct | Holding | 14,667 owned after | $7.50 exercise price | 2013-09-04 | |
| 2013-09-03 | LEVECCHIO ANTHONY J Director | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 14,000 owned after | $6.00 exercise price | 2013-09-04 | |
| 2013-09-03 | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,334 0 owned after | $7.50 exercise price | 2013-09-04 | |
| 2013-09-03 | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,334 0 owned after | $7.50 exercise price | 2013-09-04 | |
| 2013-09-03 | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 0 owned after | $7.50 exercise price | 2013-09-04 | |
| 2013-09-03 | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,665 12,669 owned after | $7.50 exercise price | 2013-09-04 | |
| 2013-09-03 | Young Ross Adam Director | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,334 0 owned after | $7.50 exercise price | 2013-09-04 | |
| 2013-09-03 | Young Ross Adam Director | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,666 41,334 owned after | $6.93 exercise price | 2013-09-04 | |
| 2013-09-03 | YANKOWSKI CARL Director | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 57,667 owned after | $7.50 exercise price | 2013-09-04 | |
| 2013-08-27 | Berkoff Bruce I Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,334 0 owned after | $7.50 exercise price | 2013-08-28 | |
| 2013-08-27 | Berkoff Bruce I Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,666 35,334 owned after | $6.93 exercise price | 2013-08-28 | |
| 2013-08-16 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 13,334 owned after | $7.50 exercise price | 2013-08-16 | |
| 2013-08-16 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 16,668 owned after | $7.50 exercise price | 2013-08-16 | |
| 2013-08-16 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 18,335 owned after | $7.50 exercise price | 2013-08-16 | |
| 2013-08-16 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 39,669 owned after | $7.50 exercise price | 2013-08-16 | |
| 2013-08-16 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 73,003 owned after | $7.50 exercise price | 2013-08-16 | |
| 2013-08-16 holding as of filing | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | Holding | 193,003 owned after | $6.93 exercise price | 2013-08-16 | |
| 2013-08-16 holding as of filing | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 1,667 owned after | $7.50 exercise price | 2013-08-16 | |
| 2013-08-16 holding as of filing | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 35,001 owned after | $7.50 exercise price | 2013-08-16 | |
| 2013-08-16 holding as of filing | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 155,001 owned after | $6.93 exercise price | 2013-08-16 | |
| 2013-08-16 holding as of filing | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | Holding | 159,001 owned after | $7.13 exercise price | 2013-08-16 | |
| 2013-03-01 | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +40,000 193,003 owned after | $6.93 exercise price | 2013-03-01 | |
| 2013-03-01 | Shin Seong Sik Officer (Chief Operating Officer) | 4 | Stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 54,000 owned after | $6.00 exercise price | 2013-03-01 | |
| 2013-03-01 | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 159,001 owned after | $6.93 exercise price | 2013-03-01 | |
| 2013-03-01 | PETCAVICH ROBERT J Officer (Senior Vice President) | 4 | Stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 275,001 owned after | $6.93 exercise price | 2013-03-01 | |
| 2013-03-01 | Young Ross Adam Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,667 59,667 owned after | $7.50 exercise price | 2013-03-01 | |
| 2013-03-01 | Young Ross Adam Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 56,334 owned after | $7.50 exercise price | 2013-03-01 | |
| 2013-03-01 | Killion Reed J Director, Officer (Chief Executive Officer) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +50,000 369,834 owned after | $6.93 exercise price | 2013-03-01 | |
| 2013-03-01 | Berkoff Bruce I Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,667 59,667 owned after | $7.50 exercise price | 2013-03-01 | |
| 2013-03-01 | Berkoff Bruce I Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 56,334 owned after | $7.50 exercise price | 2013-03-01 | |
| 2012-11-27 | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 199,001 owned after | $7.13 | 2012-11-27 | |
| 2012-11-27 | Shin Seong Sik Officer (Chief Operating Officer) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 79,000 owned after | $7.13 | 2012-11-27 | |
| 2012-11-27 | Killion Reed J Director, Officer (Chief Executive Officer) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 419,834 owned after | $7.13 | 2012-11-27 | |
| 2012-03-09 | Patterson William Wayne Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,667 owned after | $6.00 | 2012-03-09 | |
| 2012-03-09 | LEVECCHIO ANTHONY J Director | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,667 owned after | $6.00 | 2012-03-09 | |
| 2011-09-08 holding as of filing | Shin Seong Sik Officer (Chief Operating Officer) | 3 | Stock Option Derivative · Direct | Holding | $6.00 exercise price | 2011-09-08 | ||
| 2011-05-12 holding as of filing | Patterson William Wayne Director | 3 | Stock Option Derivative · Direct | Holding | $7.50 exercise price | 2011-05-12 | ||
| 2011-05-12 holding as of filing | LEVECCHIO ANTHONY J Director | 3 | Stock Option Derivative · Direct | Holding | $7.50 exercise price | 2011-05-12 | ||
| 2011-01-21 | PETCAVICH ROBERT J Officer (Senior Vice President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +210,000 325,001 owned after | $6.93 | 2011-01-25 | |
| 2011-01-21 | Van Ostrand Daniel K Officer (Senior Vice President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,000 195,001 owned after | $6.93 | 2011-01-24 | |
| 2011-01-21 | Killion Reed J Director, Officer (Chief Executive Officer) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 415,834 owned after | $6.93 | 2011-01-24 | |
| 2011-01-21 | MARREN BERNARD T Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 101,667 owned after | $6.93 | 2011-01-24 | |
| 2011-01-21 | Young Ross Adam Director | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 66,334 owned after | $6.93 | 2011-01-24 | |
| 2011-01-21 | TOMZ JEFFREY W Officer (Chief Financial Officer) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,000 233,003 owned after | $6.93 | 2011-01-24 | |
| 2011-01-21 | Berkoff Bruce I Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 66,334 owned after | $6.93 | 2011-01-24 | |
| 2007-09-13 | Killion Reed J Director, Officer (President) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +810,000 1,810,000 owned after | $1.45 | 2007-09-18 | |
| 2007-09-13 | Tassone James A Director, Officer (Chief Financial Officer) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +105,000 681,250 owned after | $1.45 | 2007-09-18 |