-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, M6o2CyB0SIo6VAjrpspjtNgi8n2xZ7/pl//yrRydKzTJqR7gGyA/LNcvJec9EQCd NnzdS8NP3nANQbsNpNjzlg== 0001209191-07-057669.txt : 20071009 0001209191-07-057669.hdr.sgml : 20071008 20071009181523 ACCESSION NUMBER: 0001209191-07-057669 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070928 FILED AS OF DATE: 20071009 DATE AS OF CHANGE: 20071009 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: 11940 JOLLYVILLE RD., SUITE 200N CITY: AUSTIN STATE: TX ZIP: 77004 BUSINESS PHONE: 512 370-2839 MAIL ADDRESS: STREET 1: 11940 JOLLYVILLE RD., SUITE 200N CITY: AUSTIN STATE: TX ZIP: 77004 FORMER COMPANY: FORMER CONFORMED NAME: REAL ESTATEFOR LEASE COM INC DATE OF NAME CHANGE: 20020411 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC CENTRAL INDEX KEY: 0000728612 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 071163541 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 2126702273 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERRILL LYNCH & CO INC CENTRAL INDEX KEY: 0000065100 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 071163542 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CTR CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 2124491000 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CTR CITY: NEW YORK STATE: NY ZIP: 10080 3 1 doc3.xml FORM 3 SUBMISSION X0202 3 2007-09-28 0 0001171012 Uni-Pixel UNXL 0000728612 MERRILL LYNCH PIERCE FENNER & SMITH INC 4 WORLD FINANCIAL CENTER NORTH TOWER NEW YORK NY 10080 0 0 1 0 0000065100 MERRILL LYNCH & CO INC 4 WORLD FINANCIAL CENTER NORTH TOWER NEW YORK NY 10080 0 0 1 0 Series C Preferred Stock 0.00 2007-09-28 Common Stock 7142864 D Warrants to Purchase Common Stock 1.40 2007-09-28 2017-09-28 Common Stock 3214289 D N/A Each share of Series C Preferred Stock is convertible into eight shares of Common Stock, subject to adjustment. The shares of Series C Preferred Stock are owned directly by Merrill Lynch, Pierce, Fenner & Smith Incorporated, a direct wholly owned subsidiary of Merrill Lynch & Co., Inc. Each reporting owner disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein, and the filing of this Statement shall not be construed as an admission that such persons or entities are, for purposes of Section 13(d) of the Exchange Act, as amended, the beneficial owners of any security. Neither the present filing nor anything contained herein shall be construed as an admission that any Reporting Person is a member of a "group" for any purpose or is subject to the reporting requirements under Section 16 of the Exchange Act. The warrants are owned directly by Merrill Lynch, Pierce, Fenner & Smith Incorporated, a direct wholly owned subsidiary of Merrill Lynch & Co., Inc. Pia K. Thompson Director, Corporate Counsel & Assistant Corporate Secretary 2007-10-09 Pia K. Thompson 2007-10-09 -----END PRIVACY-ENHANCED MESSAGE-----