0001512291-13-000002.txt : 20130517
0001512291-13-000002.hdr.sgml : 20130517
20130517090053
ACCESSION NUMBER: 0001512291-13-000002
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20130517
DATE AS OF CHANGE: 20130517
SUBJECT COMPANY:
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
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-82035
FILM NUMBER: 13853293
BUSINESS ADDRESS:
STREET 1: 8708 TECHNOLOGY FOREST PLACE - SUITE 100
CITY: THE WOODLANDS
STATE: TX
ZIP: 77381
BUSINESS PHONE: 281-825-4500
MAIL ADDRESS:
STREET 1: 8708 TECHNOLOGY FOREST PLACE - SUITE 100
CITY: THE WOODLANDS
STATE: TX
ZIP: 77381
FORMER COMPANY:
FORMER CONFORMED NAME: REAL ESTATEFOR LEASE COM INC
DATE OF NAME CHANGE: 20020411
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Goldberg Capital Management
CENTRAL INDEX KEY: 0001512291
IRS NUMBER: 000000000
STATE OF INCORPORATION: CT
FISCAL YEAR END: 1210
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 27 STAGECOACH ROAD
CITY: AVON
STATE: CT
ZIP: 06001
BUSINESS PHONE: 8606730141
MAIL ADDRESS:
STREET 1: 27 STAGECOACH ROAD
CITY: AVON
STATE: CT
ZIP: 06001
SC 13G
1
unipixel13g051013.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )
Uni-Pixel Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
904572203
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(CUSIP Number)
May 10, 2013
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(Date of Event Which Requires Filing of this
Statement)
Check the appropriate box to designate the rule pursuant to
which this Schedule
is filed:
|X| Rule 13d-1(b)
|_| Rule 13d-1(c)
|_| Rule 13d-1(d)
CUSIP NO.
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1 NAME OF REPORTING PERSON
SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON
Goldberg Capital Management
000-00-0000 (self)
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2 CHECK APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) |_|
(b) |_|
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Connecticut
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5 SOLE VOTING POWER
86,000
NUMBER OF ----------------------------------------------
----------------
SHARES 6 SHARED VOTING POWER
BENFICIALLY
OWNED BY na
EACH ----------------------------------------------
----------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 631,010
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----------------
8 SHARED DISPOSITIVE POWER
na
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9 AGGREGATE AMOUNT BENFICIALLY OWNED BY EACH REPORTING
PERSON
631,010
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----------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES
CERTAIN SHARES |_|
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.25%
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12 TYPE OF REPORTING PERSON
IA
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----------------
Item 1.
a) Name of Issuer: UniPixel Corporation
b) Address: 8708 Technology Forest Place., STE. 100
Woodland, TX 77381
Item 2.
a) Name of Filer: Goldberg Capital Management
b) Address of Filer: 27 Stagecoach Road
Avon, CT 06001
c) Citizenship: Connecticut
d) Title of Class of Securities: Common Stock
e) CUSIP Number: 904572203
Item 3. Item 3. If this statement is filed pursuant to Rule 13d-
1(b), or
13d-2(b), check whether the person filing is a:
(a) |_| Broker or Dealer registered under Section 15
of the Act
(b) |_| Bank as defined in section 3 (a) (6) of the
Act
(c) |_| Insurance Company as defined in section 3 (a)
(6) of the Act
(d) |_| Investment Company registered under section 8
of the
Investment Company Act
(e) |X| Investment Adviser registered under section
203 of the
Investment Advisers act of 1940
(f) |_| Employee Benefit Plan, Pension Fund which is
subject to the
provisions of the Employee Retirement Income
Security Act of
1974 or Endowment Fund; see 240.13d-1 (b) (1)
(ii) (F)
(g) |_| Parent Holding Company, in accordance with
240.13d-1 (b) (ii)
(G) (Note: See Item 7)
(h) |_| Group, in accordance with 240.13d-1(b) (1)
(ii) (H)
Item 4. Ownership
a) Amount beneficially owned: 631,010
b) Percent of Class: 5.25%
c) Number of shares:
(i) Sole voting power -- 86,000
(ii) Shared voting power -- na
(iii) Sole disposal power -- 631,010
(iv) Shared disposal power - na
Item 5. Less than 5% beneficial ownership
If this statement is being filed to report the fact
that as
of the date hereof the reporting person has ceased to
be the
beneficial owner of more than five percent of the
class of
securities, check the following [ ].
Item 6. More than 5% on behalf of another na
Item 7. Subsidiary na
Item 8. If group na
Item 9. Notice of Dissolution na
Item 10. Certification
By signing below I certify that, to the best of my
knowledge and
belief, the securities referred to above were acquired in the
ordinary course of
business and were not acquired for the purpose of and do not
have the effect of
changing or influencing the control of the issuer of such
securities and were
not acquired in connection with or as a participant in any
transaction having
such purposes or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge
and belief, I
certify that the information set forth in this statement is
true, complete and
correct.
Date May 10, 2013
By: /s/, Leonard L. Goldberg - Owner
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Name, Title