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