Uni-Pixel Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows, 2 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.
| 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 |