0001209191-11-033605.txt : 20110607 0001209191-11-033605.hdr.sgml : 20110607 20110607211337 ACCESSION NUMBER: 0001209191-11-033605 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110428 FILED AS OF DATE: 20110607 DATE AS OF CHANGE: 20110607 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: 11899839 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: 11899838 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 212-670-2756 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 c18514_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2011-04-28 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. 4 WORLD FINANCIAL CENTER NORTH TOWER NEW YORK NY 10080 0 0 1 0 Common Stock 2011-04-28 4 L 0 534 7.0408 A 645273 I By subsidiary Common Stock 2011-04-28 4 S 0 534 7.7237 D 644739 I By subsidiary Transaction executed by the error correction department of Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPFS"), a broker-dealer and wholly owned subsidiary of Merrill Lynch & Co., Inc., a wholly owned subsidiary of Bank of America Corporation ("BAC"), a Delaware corporation and bank holding company registered under the Bank Holding Company Act of 1956, to correct errors made in connection with agency brokerage trades made on behalf of clients of MLPFS. In connection with this transaction, BAC has agreed to voluntarily remit realized profits, if any, to the issuer. BAC disclaims that such transaction is subject to reporting under Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or disgorgement under Section 16(b) of the Exchange Act, and neither any statement in this report on Form 4 nor BAC's remittance to the issuer of any profits related to such transaction shall be deemed an admission that Sections 16(a) and 16(b) of the Exchange Act apply to such transaction. Each of the reporting persons disclaims beneficial ownership of these shares, except to the extent of its pecuniary interest therein. The transactions reported on this report on Form 4 were effected by MLPFS. /s/ Jeffrey M. Atkins, Managing Director of Bank of America Corporation 2011-06-06 /s/ Gary M. Tsuyuki, Managing Director of Merrill Lynch, Pierce, Fenner & Smith Incorporated 2011-06-02