0001209191-17-007597.txt : 20170203
0001209191-17-007597.hdr.sgml : 20170203
20170203162439
ACCESSION NUMBER: 0001209191-17-007597
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170201
FILED AS OF DATE: 20170203
DATE AS OF CHANGE: 20170203
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Uni-Pixel
CENTRAL INDEX KEY: 0001171012
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679]
IRS NUMBER: 752926437
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4699 OLD IRONSIDE DRIVE, SUITE 300
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
BUSINESS PHONE: 281-825-4500
MAIL ADDRESS:
STREET 1: 4699 OLD IRONSIDE DRIVE, SUITE 300
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
FORMER COMPANY:
FORMER CONFORMED NAME: REAL ESTATEFOR LEASE COM INC
DATE OF NAME CHANGE: 20020411
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HAWTHORNE JEFFREY ALAN
CENTRAL INDEX KEY: 0001228270
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34998
FILM NUMBER: 17572394
MAIL ADDRESS:
STREET 1: 230 SEQUOIA AVE
CITY: PALO ALTO
STATE: CA
ZIP: 94306
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-02-01
0
0001171012
Uni-Pixel
UNXL
0001228270
HAWTHORNE JEFFREY ALAN
C/O UNI-PIXEL, INC.
4699 OLD IRONSIDES DRIVE, SUITE 300
SANTA CLARA
CA
95054
1
1
0
0
CEO and President
Common Stock
2017-02-01
4
M
0
16666
0.00
A
302220
D
Common Stock
2017-02-01
4
F
0
7296
1.43
D
294924
D
Restricted Stock Units (RSUs)
0.00
2016-11-01
4
M
0
16666
0.00
D
Common Stock
16666
150002
D
16,666 Restricted Stock Units ("RSUs") issued in the grant to Mr. Hawthorne on 6/8/2016 vested on 2/1/2017 according to the vesting schedule previously reported.
Includes 100,000 shares of restricted common stock that vested 50% on April 14, 2016 and the remaining 50% which will vest on April 14, 2017. Also includes 100,000 shares of restricted common stock that vested 1/3rd on July 31, 2016, and the remaining 2/3rds which will vest 1/3rd on July 31, 2017 and 1/3rd on July 31, 2018, respectively.
7,296 shares of Common Stock were withheld by the Company for the purposes of satisfying tax withholding obligations in connection with such vesting as previously reported by the Company.
The closing price of the Company's common stock on 2/1/2017.
The RSUs vest in twelve quarterly installments beginning on August 1, 2016 and ending on May 1, 2019.
/s/ Jeffrey A. Hawthorne
2017-02-03