Statement of Changes in Beneficial Ownership (4)
14 6월 2017 - 5:22AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
CHRISTINE RUSSELL
|
2. Issuer Name
and
Ticker or Trading Symbol
Uni-Pixel
[
UNXL
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer
|
(Last)
(First)
(Middle)
C/O UNI-PIXEL, INC., 4699 OLD IRONSIDES DRIVE, SUITE 300
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/9/2017
|
(Street)
SANTA CLARA, CA 95054
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Restricted Stock Units (RSUs)
(1)
|
(2)
|
6/9/2017
|
|
A
|
|
300000
|
|
(3)
|
(3)
|
Common Stock
|
300000
|
$0.00
|
300000
|
D
|
|
Explanation of Responses:
|
(1)
|
The Restricted Stock Units ("RSUs") were issued pursuant to the terms of the Uni-Pixel, Inc. 2011 Stock Incentive Plan and a Restricted Stock Unit Notice of Grant and Agreement. The Company will withhold shares of stock subject to the restricted stock units at the time of vesting for the purposes of satisfying any tax withholding obligations which arise in connection with such vesting.
|
(2)
|
Each RSU represents a contingent right to receive one share of UniPixel common stock.
|
(3)
|
The RSUs vest in twelve quarterly installments beginning on August 1, 2017 and ending on May 1, 2020.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
CHRISTINE RUSSELL
C/O UNI-PIXEL, INC.
4699 OLD IRONSIDES DRIVE, SUITE 300
SANTA CLARA, CA 95054
|
|
|
Chief Financial Officer
|
|
Signatures
|
/s/ Christine Russell
|
|
6/13/2017
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Uni-Pixel, Inc. (NASDAQ:UNXL)
과거 데이터 주식 차트
부터 1월(1) 2025 으로 2월(2) 2025
Uni-Pixel, Inc. (NASDAQ:UNXL)
과거 데이터 주식 차트
부터 2월(2) 2024 으로 2월(2) 2025
Uni-Pixel, Inc. (나스닥)의 실시간 뉴스: 최근 기사 0
More Uni-pixel News Articles