-----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, S/Pallk63sieV1ocjdOgEH6nGgF1ZzU93alXRNi53qqYX791F6IJGQzeMfNjocLp iy9E7fM9zu00jorTS+CoNQ== 0000914121-09-000054.txt : 20090109 0000914121-09-000054.hdr.sgml : 20090109 20090109171337 ACCESSION NUMBER: 0000914121-09-000054 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090101 FILED AS OF DATE: 20090109 DATE AS OF CHANGE: 20090109 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: BANK OF AMERICA CORP /DE/ CENTRAL INDEX KEY: 0000070858 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 09519632 BUSINESS ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: 7043868486 MAIL ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 FORMER NAME: FORMER CONFORMED NAME: BANKAMERICA CORP/DE/ DATE OF NAME CHANGE: 19981022 FORMER NAME: FORMER CONFORMED NAME: NATIONSBANK CORP DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: NCNB CORP DATE OF NAME CHANGE: 19920107 3 1 p14841743-3_uniex.xml X0203 3 2009-01-01 0 0001171012 Uni-Pixel UNXL 0000070858 BANK OF AMERICA CORP /DE/ BANK OF AMERICA CORPORATE CENTER 100 N TRYON ST CHARLOTTE NC 28255 0 0 1 0 Series C Preferred Stock 0 2007-09-28 Common Stock 7142864 I See footnotes. Warrants to Purchase Common Stock 1.4 2007-09-28 2017-09-28 Common Stock 3214289 I See footnotes. Bank of America Corporation ("Bank of America") is an indirect beneficial owner of the reported securities. The indirect interest in the reported securities was obtained pursuant to an Agreement and Plan of Merger, dated as of September 15, 2008 (the "Merger Agreement") whereby a wholly owned subsidiary of Bank of America merged with and into Merrill Lynch & Co., Inc. ("Merrill Lynch"). Merrill Lynch is now a wholly owned subsidiary of Bank of America. 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 beneficially owned directly by Merrill Lynch, Pierce, Fenner & Smith Incorporated, a direct wholly owned subsidiary of Merrill Lynch & Co., Inc. Merrill Lynch & Co., Inc. is a direct wholly owned subsidiary of Bank of America Corp. Bank of America 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 Bank of America is, for purposes of Section 13(d) of the Exchange Act, as amended, the beneficial owner of any security. Neither the present filing nor anything contained herein shall be construed as an admission that Bank of America 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. Merrill Lynch & Co., Inc. is a direct wholly owned subsidiary of Bank of America. N/A /s/ Charles Bowman, Senior Vice President 2009-01-09 -----END PRIVACY-ENHANCED MESSAGE-----