-----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, DUBnipYOvEG4neU/bAATSwE7BcPRfgUy7T9TmGiVgB1d7Hi8uKoG2CKQD2ASVtNR ZIMoeI8GnvkRZcz08mS9VQ== 0001209191-11-008723.txt : 20110211 0001209191-11-008723.hdr.sgml : 20110211 20110211141608 ACCESSION NUMBER: 0001209191-11-008723 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101210 FILED AS OF DATE: 20110211 DATE AS OF CHANGE: 20110211 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: 001-34998 FILM NUMBER: 11597843 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: 001-34998 FILM NUMBER: 11597842 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 980-383-5633 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 c12352_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2010-12-10 0001171012 Uni-Pixel UNXL 0000070858 BANK OF AMERICA CORP /DE/ BANK OF AMERICA CORPORATE CENTER 100 N TRYON ST. 25TH FLOOR 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 Common Stock 2010-12-10 4 C 0 63551 5.00 A 644739 I By subsidiary Convertible Promissory Note 5.00 2010-12-10 4 C 0 300000 0 D 2010-03-15 Common Stock 63551 0 I By subsidiary The number of shares of common stock that was previously reported by the reporting persons has been adjusted to reflect the one-for-fifteen reverse stock split of the common stock that occurred on December 10, 2010 (the "Reverse Stock Split"). On December 10, 2010, Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPFS"), a wholly owned subsidiary of Merrill Lynch & Co., Inc., a wholly owned subsidiary of Bank of America Corporation, converted a Convertible Promissory Note in the principal amount of $300,000 (the "Note"), including accrued interest thereon, pursuant to the Note's terms into 63,551 shares of common stock. Pursuant to the Note's anti-dilution provisions (and after giving effect to the Reverse Stock Split), the Note was convertible into shares of common stock at the price per share at which the issuer sold common stock in its public offering that commenced on December 10, 2010, $5.00 per share. Absent such anti-dilution provisions, the Note would have been convertible into shares of common stock at the rate of $7.50 per share. The transactions reported on this Form 4 were effected by MLPFS. If not first converted, the Note would have matured on the earlier of: (a) March 15, 2011 and (b) the date that Uni-Pixel successfully raised $10,000,000 in aggregate gross proceeds pursuant to one or more equity financings, which occurred on December 15, 2010. /s/ Jeffrey M. Atkins, Jeffrey M. Atkins, Managing Director of Bank of America Corporation 2011-02-10 /s/ Gary M. Tsuyuki, Gary M. Tsuyuki, Managing Director of Merrill Lynch, Pierce, Fenner & Smith Incorporated 2011-02-10 -----END PRIVACY-ENHANCED MESSAGE-----