SEC FORM 4

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

HAWTHORNE JEFFREY ALAN

(Last)

(First)

(Middle)

C/O UNI-PIXEL, INC.

4699 OLD IRONSIDES DRIVE, SUITE 300

(Street)

SANTA CLARA

95054

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Uni-Pixel [ UNXL ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	CEO and President

3. Date of Earliest Transaction (Month/Day/Year)
08/01/2017

4. If Amendment, Date of Original Filed (Month/Day/Year)

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. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	08/01/2017		M		16,666⁽¹⁾	A	$0.00	334,680⁽²⁾	D
Common Stock	08/01/2017		F		6,263⁽³⁾	D	$0.376⁽⁴⁾	328,417⁽²⁾	D
Common Stock	08/01/2017		M		20,835⁽⁵⁾	A	$0.00	349,252⁽²⁾	D
Common Stock	08/01/2017		F		7,830⁽⁶⁾	D	$0.376⁽⁴⁾	341,422⁽²⁾	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units (RSUs)	$0.00	08/01/2017		M			16,666	⁽⁷⁾	⁽⁷⁾	Common Stock	16,666	$0.00	116,670	D
Restricted Stock Units (RSUs)	$0.00	08/01/2017		M			20,835	⁽⁸⁾	⁽⁸⁾	Common Stock	20,835	$0.00	229,165	D

Explanation of Responses:

1. 16,666 Restricted Stock Units ("RSUs") issued in the grant to Mr. Hawthorne on 6/8/2016 vested on 8/1/2017 according to the vesting schedule previously reported.

2. Includes 100,000 shares of restricted common stock that vested 1/3rd on July 31, 2016, 1/3rd on July 31, 2017, and the remaining 1/3rd which will vest on July 31, 2018.

3. 6,263 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.

4. The closing price of the Company's common stock on 8/1/2017.

5. 20,835 RSUs issued in the grant to Mr. Hawthorne on 6/9/2017 vested on 8/1/2017 according to the vesting schedule previously reported.

6. 7,830 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.

7. The RSUs vest in twelve quarterly installments beginning on August 1, 2016 and ending on May 1, 2019.

8. The RSUs vest in twelve quarterly installments beginning on August 1, 2017 and ending on May 1, 2020.

Remarks:

	/s/ Jeffrey A. Hawthorne	08/03/2017
	** Signature of Reporting Person	Date
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