Uni-Pixel Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 56 rows, 56 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-08-01: Reporting owner HAWTHORNE JEFFREY ALAN; Form 4; Security Restricted Stock Units (RSUs); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-08-01: Reporting owner HAWTHORNE JEFFREY ALAN; Form 4; Security Restricted Stock Units (RSUs); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-08-01: Reporting owner CHRISTINE RUSSELL; Form 4; Security Restricted Stock Units (RSUs); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-08-01: Reporting owner CHRISTINE RUSSELL; Form 4; Security Restricted Stock Units (RSUs); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-08-01 | HAWTHORNE JEFFREY ALAN Director, Officer (CEO and President) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,666 116,670 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | HAWTHORNE JEFFREY ALAN Director, Officer (CEO and President) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,835 229,165 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | CHRISTINE RUSSELL Officer (Chief Financial Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 122,500 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | CHRISTINE RUSSELL Officer (Chief Financial Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 275,000 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | Young Ross Adam Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 43,750 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | Young Ross Adam Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,335 91,665 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | THOMPSON MALCOLM Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 43,750 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | THOMPSON MALCOLM Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,335 91,665 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | LEVECCHIO ANTHONY J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 43,750 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | LEVECCHIO ANTHONY J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,335 91,665 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | Young Sam I Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,333 58,335 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | Young Sam I Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,335 91,665 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | DORAN JAMES E Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 43,750 owned after | $0.00 | 2017-08-03 | |
| 2017-08-01 | DORAN JAMES E Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,335 91,665 owned after | $0.00 | 2017-08-03 | |
| 2017-06-09 | HAWTHORNE JEFFREY ALAN Director, Officer (CEO and President) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.00 | 2017-06-13 | |
| 2017-06-09 | CHRISTINE RUSSELL Officer (Chief Financial Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $0.00 | 2017-06-13 | |
| 2017-06-09 | Young Sam I Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2017-06-13 | |
| 2017-06-09 | Young Ross Adam Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2017-06-13 | |
| 2017-06-09 | THOMPSON MALCOLM Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2017-06-13 | |
| 2017-06-09 | LEVECCHIO ANTHONY J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2017-06-13 | |
| 2017-06-09 | DORAN JAMES E Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2017-06-13 | |
| 2017-05-01 | HAWTHORNE JEFFREY ALAN Director, Officer (CEO and President) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,666 133,336 owned after | $0.00 | 2017-05-03 | |
| 2017-05-01 | CHRISTINE RUSSELL Officer (Chief Financial Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 140,000 owned after | $0.00 | 2017-05-03 | |
| 2017-05-01 | DORAN JAMES E Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 50,000 owned after | $0.00 | 2017-05-03 | |
| 2017-05-01 | LEVECCHIO ANTHONY J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 50,000 owned after | $0.00 | 2017-05-03 | |
| 2017-05-01 | THOMPSON MALCOLM Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 50,000 owned after | $0.00 | 2017-05-03 | |
| 2017-05-01 | Young Ross Adam Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 50,000 owned after | $0.00 | 2017-05-03 | |
| 2017-05-01 | Young Sam I Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,333 66,668 owned after | $0.00 | 2017-05-03 | |
| 2017-02-01 | Young Ross Adam Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 56,250 owned after | $0.00 | 2017-02-03 | |
| 2017-02-01 | Young Sam I Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,333 75,001 owned after | $0.00 | 2017-02-03 | |
| 2017-02-01 | CHRISTINE RUSSELL Officer (Chief Financial Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 157,500 owned after | $0.00 | 2017-02-03 | |
| 2017-02-01 | DORAN JAMES E Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 56,250 owned after | $0.00 | 2017-02-03 | |
| 2017-02-01 | LEVECCHIO ANTHONY J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 56,250 owned after | $0.00 | 2017-02-03 | |
| 2017-02-01 | THOMPSON MALCOLM Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 56,250 owned after | $0.00 | 2017-02-03 | |
| 2016-11-01 | HAWTHORNE JEFFREY ALAN Director, Officer (CEO and President) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,666 150,002 owned after | $0.00 | 2017-02-03 | |
| 2016-11-01 | HAWTHORNE JEFFREY ALAN Director, Officer (CEO and President) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,666 166,668 owned after | $0.00 | 2016-11-03 | |
| 2016-11-01 | CHRISTINE RUSSELL Officer (Chief Financial Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 175,000 owned after | $0.00 | 2016-11-03 | |
| 2016-11-01 | DORAN JAMES E Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 62,500 owned after | $0.00 | 2016-11-03 | |
| 2016-11-01 | LEVECCHIO ANTHONY J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 62,500 owned after | $0.00 | 2016-11-03 | |
| 2016-11-01 | THOMPSON MALCOLM Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 62,500 owned after | $0.00 | 2016-11-03 | |
| 2016-11-01 | Young Ross Adam Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 62,500 owned after | $0.00 | 2016-11-03 | |
| 2016-11-01 | Young Sam I Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,333 83,334 owned after | $0.00 | 2016-11-03 | |
| 2016-08-01 | HAWTHORNE JEFFREY ALAN Director, Officer (CEO and President) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,666 183,334 owned after | $0.00 | 2016-08-03 | |
| 2016-08-01 | CHRISTINE RUSSELL Officer (Chief Financial Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 192,500 owned after | $0.00 | 2016-08-03 | |
| 2016-08-01 | DORAN JAMES E Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 68,750 owned after | $0.00 | 2016-08-03 | |
| 2016-08-01 | LEVECCHIO ANTHONY J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 68,750 owned after | $0.00 | 2016-08-03 | |
| 2016-08-01 | THOMPSON MALCOLM Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 68,750 owned after | $0.00 | 2016-08-03 | |
| 2016-08-01 | Young Ross Adam Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 68,750 owned after | $0.00 | 2016-08-03 | |
| 2016-08-01 | Young Sam I Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,333 91,667 owned after | $0.00 | 2016-08-03 | |
| 2016-06-08 | HAWTHORNE JEFFREY ALAN Director, Officer (CEO and President) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.00 | 2016-06-10 | |
| 2016-06-08 | CHRISTINE RUSSELL Officer (Chief Financial Officer) | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +210,000 210,000 owned after | $0.00 | 2016-06-10 | |
| 2016-06-08 | Young Ross Adam Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.00 | 2016-06-10 | |
| 2016-06-08 | LEVECCHIO ANTHONY J Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.00 | 2016-06-10 | |
| 2016-06-08 | THOMPSON MALCOLM Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.00 | 2016-06-10 | |
| 2016-06-08 | DORAN JAMES E Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.00 | 2016-06-10 | |
| 2016-06-08 | Young Sam I Director | 4 | Restricted Stock Units (RSUs) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2016-06-10 |