- Post-effective amendment filed solely to add exhibits to a registration statement (POS EX)
11 12월 2010 - 5:52AM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on December 10,
2010
Registration No. 333-169279
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Post-Effective Amendment No. 1
to
Form S-1
REGISTRATION
STATEMENT UNDER THE SECURITIES ACT OF 1933
UNI-PIXEL, INC.
(Exact Name of Registrant as Specified in Its Charter)
Delaware
|
|
3081
|
|
75-2926437
|
(State or other jurisdiction of
incorporation or organization)
|
|
(Primary Standard Industrial
Classification Code Number)
|
|
(I.R.S. Employer
Identification No.)
|
8708 Technology Forest Pl, Ste 100
The Woodlands, TX 77381
(281) 825-4500
(Address, including zip code,
and telephone number, including area code, of registrants principal executive
offices)
Reed J. Killion
President and Chief Executive Officer
Uni-Pixel, Inc.
8708 Technology Forest Place, Suite 100
The Woodlands, Texas 77381
(281) 825-4500
(Name, address, including zip
code, and telephone number, including area code, of agent for service)
Copies to:
Scott D. Chenevert, Esq.
Jones, Walker, Waechter, Poitevent,
Carrère & Denègre LLP
8555 United Plaza Boulevard, Suite 500
Baton Rouge, Louisiana 70809
(225) 248-2116
(225) 248-3016 Facsimile
|
|
Erick Richardson, Esq.
Dorothy Vinsky, Esq.
Richardson & Patel, LLP
10900 Wilshire Boulevard, Suite 500
Los Angeles, California 90024-6525
(310) 208-1182
(310) 208-1154 Facsimile
|
As soon as practicable after the effective date of this Registration
Statement.
(Approximate date of commencement of proposed sale to the public)
If
any of the securities being registered on this Form are to be offered on a
delayed or continuous basis pursuant to Rule 415 under the Securities Act
of 1933 check the following box.
o
If
this Form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act, please check the
following box and list the Securities Act registration statement number of the
earlier effective registration statement for the same offering.
o
If
this Form is a post-effective amendment filed pursuant to Rule 462(c) under
the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement
for the same offering.
o
If
this Form is a post-effective amendment filed pursuant to Rule 462(d) under
the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement
for the same offering.
x
333-169279
Indicate
by check mark whether the registrant is a large accelerated filer, an
accelerated filer, a non-accelerated filer, or a smaller reporting company. See
the definitions of large accelerated filer, accelerated filer and smaller
reporting company in Rule 12b-2 of the Exchange Act (Check one):
|
Large accelerated filer
o
|
|
Accelerated filer
o
|
|
Non-accelerated filer
o
|
(Do not check if a smaller reporting company)
|
Smaller reporting company
x
|
This Registration Statement shall become effective upon filing with the
SEC in accordance with Rule 462(d) under the Securities Act of 1933.
EXPLANATORY NOTE
This
Post-Effective Amendment No. 1 (the Amendment) relates to the
Registration Statement on Form S-1, as amended (File No. 333-169279),
initially filed by the Registrant on September 9, 2010 and declared
effective by the Securities and Exchange Commission on December 9, 2010 (Prior
Registration Statement). The Registrant is filing this Amendment for the sole
purpose of replacing Exhibits 1.1 and 3.1 to the Registration Statement. This
Amendment does not modify any provision of Part I or Part II of the
Registration Statement other than supplementing Item 16(a) of Part II
as set forth below.
2
PART II
INFORMATION NOT REQUIRED IN PROSPECTUS
Item 16.
Exhibits and Financial Statement Schedules.
(a) Exhibits
All exhibits filed or
incorporated by reference in the Prior Registration Statement are incorporated
by reference into, and shall be deemed to be part of, this Registration
Statement, except for the following, which are filed herewith:
Exhibit No.
|
|
Description
|
1.1
|
|
Underwriting Agreement*
|
3.1
|
|
Composite Certificate of
Incorporation*
|
* Filed herewith
3
SIGNATURES
Pursuant to the requirements
of the Securities Act of 1933, the registrant has duly caused this registration
statement to be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of The Woodlands, State of Texas, on this 10
th
day of December, 2010.
UNI-PIXEL, INC.
|
By:
|
/s/ Reed J. Killion
|
|
|
Reed J. Killion
|
|
|
President and Chief
Executive Officer
|
POWER
OF ATTORNEY
KNOW ALL THESE PERSONS BY
THESE PRESENTS, that each person whose signature appears below constitutes and
appoints Reed J. Killion and Robert J. Petcavich, and each of them, his or her
true and lawful attorneys-in-fact and agents with full power of substitution
and resubstitution, for him or her and in his or her name, place and stead, in
any and all capacities, to sign any and all amendments (including
post-effective amendments) to this registration statement (and to any
registration statement filed pursuant to Rule 462 under the Securities Act
of 1933), and to file the same, with all exhibits thereto, and other documents
in connection therewith, with the Securities and Exchange Commission, granting
unto said attorneys-in-fact and agents, and each of them, full power and
authority to do and perform each and every act and thing requisite and
necessary to be done in and about the premises, as fully to all intents and
purposes as he or she might or could do in person, hereby ratifying and
confirming all that said attorneys-in-fact and agents, or any of them, or his
or her substitute or substitutes, may lawfully do or cause to be done by virtue
hereof.
Pursuant to the requirements
of the Securities Act of 1933, this registration statement has been signed by
the following persons in the capacities and on the dates indicated.
Signature
|
|
Title
|
|
Date
|
|
|
|
|
|
/s/
Reed J. Killion
|
|
President, Chief Executive Officer and Director
|
|
December 10, 2010
|
Reed
J. Killion
|
|
(Principal Executive Officer)
|
|
|
|
|
|
|
|
/s/
Robert J. Petcavich
|
|
Chief Technology Officer, Senior Vice President
|
|
December 10, 2010
|
Robert
J. Petcavich
|
|
and General Manager
|
|
|
|
|
|
|
|
|
|
|
|
|
/s/
Dan Van Ostrand
|
|
Senior Vice President Research and Development
|
|
December 10, 2010
|
Dan
Van Ostrand
|
|
|
|
|
|
|
|
|
|
/s/
Jeffrey W. Tomz
|
|
Chief Financial Officer
|
|
December 10, 2010
|
Jeffrey
W. Tomz
|
|
(Principal Accounting Officer)
|
|
|
|
|
(Principal Financial Officer)
|
|
|
|
|
|
|
|
/s/
Carl J. Yankowski
|
|
Director
|
|
December 10, 2010
|
Carl
J. Yankowski
|
|
|
|
|
|
|
|
|
|
/s/
Bernard Marren
|
|
Chairman of the Board of Directors
|
|
December 10, 2010
|
Bernard
Marren
|
|
|
|
|
|
|
|
|
|
/s/
Bruce Berkoff
|
|
Director
|
|
December 10, 2010
|
Bruce
Berkoff
|
|
|
|
|
|
|
|
|
|
/s/
Ross Young
|
|
Director
|
|
December 10, 2010
|
Ross
Young
|
|
|
|
|
4
EXHIBIT INDEX
Exhibit No.
|
|
Description
|
1.1
|
|
Underwriting Agreement*
|
3.1
|
|
Composite Certificate of
Incorporation*
|
* Filed herewith
5
Uni-Pixel, Inc. (MM) (NASDAQ:UNXLD)
과거 데이터 주식 차트
부터 10월(10) 2024 으로 11월(11) 2024
Uni-Pixel, Inc. (MM) (NASDAQ:UNXLD)
과거 데이터 주식 차트
부터 11월(11) 2023 으로 11월(11) 2024