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