-----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, WVkh4HlCt6BT8PQoAkDhdn3hAh8OVo5c3371CtgOltJQpp8INf8tT2kXljy6vJKL uJlcJIadwlGMGsi3Th5KFA== 0001209191-10-017660.txt : 20100317 0001209191-10-017660.hdr.sgml : 20100317 20100317173455 ACCESSION NUMBER: 0001209191-10-017660 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100315 FILED AS OF DATE: 20100317 DATE AS OF CHANGE: 20100317 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: 8707 TECHNOLOGY FOREST PLACE - SUITE 100 CITY: THE WOODLANDS STATE: TX ZIP: 77381 BUSINESS PHONE: 281-825-4500 MAIL ADDRESS: STREET 1: 8707 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 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 10689673 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 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 10689674 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 FORMER NAME: FORMER CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC DATE OF NAME CHANGE: 19920929 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2010-03-15 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 0000728612 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. ONE BRYANT PARK NEW YORK NY 10036 0 0 1 0 Convertible Promissory Note 0.50 2010-03-15 4 P 0 300000.00 A 2010-03-15 Common Stock 600000 600000 I By Subsidiary Warrant to Purchase Common Stock 0.50 2010-03-15 4 P 0 150000 A 2010-03-15 2019-12-31 Common Stock 150000 150000 I By Subsidiary On March 15, 2010, Merrill Lynch, Pierce, Fenner & Smith ("MLPFS") acquired Convertible Promissory Notes (the "Notes") in the principal amount of $300,000. The Notes are due and payable at maturity together with interest at the rate of 8% per annum. The maturity date is the earlier of March 15, 2011 or the successful raise of the next equity financing (or series of financings) aggregating at least $10,000,000 in gross proceeds. The Notes are convertible by MLPFS at any time at a conversion price of $0.50 per share, subject to anti-dilution provisions provided in the Notes. The Notes are convertible into 600,000 shares of Uni-Pixel common stock ("Common Stock"). The transactions reported on this Form 4 were effected by MLPFS, an indirect, wholly owned subsidiary of Bank of America Corporation. On March 15, 2010, MLPFS acquired a warrant (the "Warrant"), which entitles MLPFS to purchase 150,000 shares of Common Stock at an exercise price of $0.50 per share from the date of issuance through the close of business on December 31, 2019 (the "Warrant Expiration Date"). The Warrant may be exercised at any time after issuance until the Warrant Expiration Date through the use of cashless exercise provisions that are described in the Warrant. /s/ Angelina Richardson, Vice President 2010-03-17 /s/ Lawrence Emerson, Attorney-in-Fact 2010-03-17 -----END PRIVACY-ENHANCED MESSAGE-----