SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person*
BANK OF AMERICA CORP /DE/

(Last) (First) (Middle)
BANK OF AMERICA CORPORATE CENTER
100 N TRYON ST

(Street)
CHARLOTTE NC 28255

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2009
3. Issuer Name and Ticker or Trading Symbol
Uni-Pixel [ UNXL ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series C Preferred Stock 09/28/2007 (6) Common Stock 7,142,864 $0(2) I See footnotes.(1)(3)(4)
Warrants to Purchase Common Stock 09/28/2007 09/28/2017 Common Stock 3,214,289 $1.4 I See footnotes.(1)(4)(5)
Explanation of Responses:
1. 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.
2. Each share of Series C Preferred Stock is convertible into eight shares of Common Stock, subject to adjustment.
3. 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.
4. 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.
5. 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.
6. N/A
/s/ Charles Bowman, Senior Vice President 01/09/2009
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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