Uni-Pixel Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows, 20 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-11-25: Reporting owner LEVECCHIO ANTHONY J; Form 4; Security Warrant to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2010-03-15: Reporting owner BANK OF AMERICA CORP /DE/ | MERRILL LYNCH, PIERCE, FENNER & SMITH INC.; Form 4; Security Warrant to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2009-11-06: Reporting owner TUDOR INVESTMENT CORP ET AL | JONES PAUL TUDOR II; Form 4; Security Warrant to Purchase Common 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 Warrants to Purchase Common Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-11-25 | LEVECCHIO ANTHONY J Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +29,400 29,400 owned after | $0.85 | 2015-11-30 | |
| 2010-03-15 | BANK OF AMERICA CORP /DE/ | MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Subsidiary | P Open market or private purchase of non-derivative or derivative security | 150,000 owned after | $0.50 exercise price | 2010-03-17 | |
| 2009-11-06 | TUDOR INVESTMENT CORP ET AL | JONES PAUL TUDOR II 10% Owner | Other | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −1,645,647 0 owned after | $1.24 exercise price | 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 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −5,193,632 0 owned after | $1.24 exercise price | 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 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | +5,985,302 5,985,302 owned after | $0.50 exercise price | 2009-11-10 | |
| 2009-11-04 | MERRILL LYNCH, PIERCE, FENNER & SMITH INC. | BANK OF AMERICA CORP /DE/ 10% Owner | 10% Owner | 5 | Warrant to Purchase Common Stock Derivative · Indirect · By Subsidiary | J Other acquisition or disposition (describe transaction) | −3,214,289 0 owned after | $1.40 exercise price | 2010-02-04 | |
| 2009-11-04 | MERRILL LYNCH, PIERCE, FENNER & SMITH INC. | BANK OF AMERICA CORP /DE/ 10% Owner | 10% Owner | 5 | Warrant to Purchase Common Stock Derivative · Indirect · By Subsidiary | J Other acquisition or disposition (describe transaction) | +3,671,771 3,671,771 owned after | $0.50 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 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.24 exercise price | 2009-01-12 | ||
| 2009-01-09 holding as of filing | BANK OF AMERICA CORP /DE/ 10% Owner | 3 | Warrants to Purchase Common Stock Derivative · Indirect · See footnotes. | Holding | $1.40 exercise price | 2009-01-09 | ||
| 2008-12-31 | TUDOR INVESTMENT CORP ET AL | JONES PAUL TUDOR II Director, 10% Owner | Other | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −5,193,632 1,645,647 owned after | $1.24 exercise price | 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 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −575,943 6,839,279 owned after | $0.74 | 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 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +575,943 6,839,279 owned after | $0.74 | 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 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −575,943 6,839,279 owned after | $0.74 | 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 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +575,943 6,839,279 owned after | $0.74 | 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 | Warrants to Purchase Common Stock Derivative · Direct | Holding | $1.40 exercise price | 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 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.24 exercise price | 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 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.24 exercise price | 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 | Warrants to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.24 exercise price | 2007-02-15 | ||
| 2006-09-13 holding as of filing | Fordham Financial Management, Inc. | Baquet William 10% Owner | 10% Owner | 3 | Common Stock Purchase Warrants Derivative · Direct | Holding | $1.75 exercise price | 2006-09-13 | ||
| 2006-05-10 | Baquet William | Fordham Financial Management, Inc. 10% Owner | 10% Owner | 4 | Common Stock Purchase Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | −677,413 471,087 owned after | $1.75 exercise price | 2006-09-13 |