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 registrant’s 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


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