-----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, TnvSElKPTEcfyBl/SKoD1x+ROxaU0qHXmfgzJnPLIEgnVCbY1npen1WejIDkVxL8 l2uV336+vZ0Xaj94SOMT7g== 0001341004-10-000223.txt : 20100204 0001341004-10-000223.hdr.sgml : 20100204 20100204172910 ACCESSION NUMBER: 0001341004-10-000223 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100204 DATE AS OF CHANGE: 20100204 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-82035 FILM NUMBER: 10575035 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANK OF AMERICA CORP /DE/ CENTRAL INDEX KEY: 0000070858 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 560906609 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A 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 COMPANY: FORMER CONFORMED NAME: BANKAMERICA CORP/DE/ DATE OF NAME CHANGE: 19981022 FORMER COMPANY: FORMER CONFORMED NAME: NATIONSBANK CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: NCNB CORP DATE OF NAME CHANGE: 19920107 SC 13G/A 1 sc13g-a.htm SCHEDULE 13G, AMENDMENT 1 sc13g-a.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 1)

UNI-PIXEL, INC.
(Name of Issuer)
 
COMMON STOCK, $.001 PER SHARE PAR VALUE
(Title of Class of Securities)
 
904572104
(CUSIP Number)
 
November 4, 2009
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 
[X ]
Rule 13d-1(b)
 
[  ]
Rule 13d-1(c)
 
[  ]
Rule 13d-1(d)

*    The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 
 
 
 

 
CUSIP No. 904572104
13G
  

1.
NAME OF REPORTING PERSONS
   
 
BANK OF AMERICA CORPORATION   56-0906609
   
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
   
(a)  [_]
   
(b)  [_]
   
3.
SEC USE ONLY
   
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
   
   
Delaware
   
NUMBER OF
5.
SOLE VOTING POWER
     
SHARES
    
0
     
BENEFICIALLY
6.
SHARED VOTING POWER
     
OWNED BY
    
12,389,590
     
EACH
7.
SOLE DISPOSITIVE POWER
     
REPORTING
    
0
     
PERSON
8.
SHARED DISPOSITIVE POWER
     
WITH
    
12,389,590
   
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
   
12,389,590
   
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
   
[_]
   
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
   
22.2%
   
12.
TYPE OF REPORTING PERSON*
   
   
HC
   
 
 
 
 
 

 
CUSIP No. 904572104
13G
  

1.
NAME OF REPORTING PERSONS
   
 
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED   13-5674085
   
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
   
(a)  [_]
   
(b)  [_]
   
3.
SEC USE ONLY
   
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
   
   
Delaware
   
NUMBER OF
5.
SOLE VOTING POWER
     
SHARES
    
0
     
BENEFICIALLY
6.
SHARED VOTING POWER
     
OWNED BY
    
12,389,590
     
EACH
7.
SOLE DISPOSITIVE POWER
     
REPORTING
    
0
     
PERSON
8.
SHARED DISPOSITIVE POWER
     
WITH
    
12,389,590
   
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
   
12,389,590
   
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
   
[_]
   
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
   
22.2%
   
12.
TYPE OF REPORTING PERSON*
   
   
BD, IA
   
 
 
 
 
 

 
CUSIP No. 904572104
13G
  

Item 1(a).
Name of Issuer:
   
 
Uni-Pixel, Inc.
   
Item 1(b).
Address of Issuer's Principal Executive Offices:
   
 
8708 Technology Forest Place, Suite 100
The Woodlands, Texas 77381
   
Item 2(a).
Name of Person Filing:
   
 
BANK OF AMERICA CORPORATION
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
   
Item 2(b).
Address of Principal Business Office, or if None, Residence:

The principal business office for BANK OF AMERICA CORPORATION is BANK OF AMERICA CORPORATE CENTER, 100 NORTH TRYON STREET, CHARLOTTE, NC 28255.

The principal business office for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED is ONE BRYANT PARK, NEW YORK, NY 10036.

Item 2(c).
Citizenship:
   
 
SEE ITEM 4 OF COVER PAGES
   
Item 2(d).
Title of Class of Securities:
   
 
COMMON STOCK
   
Item 2(e).
CUSIP Number:
   
 
904572104
   
Item 3.
If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:

(a)
[X]
Broker or dealer registered under Section 15 of the Exchange Act.
(b)
[_]
Bank as defined in Section 3(a)(6) of the Exchange Act.
(c)
[_]
Insurance company as defined in Section 3(a)19) of the Exchange Act.
(d)
[_]
Investment company registered under Section 8 of the Investment Company Act.
(e)
[X]
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E)
(f)
[_]
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F)
(g)
[X]
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G)
(h)
[_]
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act
(i)
[_]
A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act
(j)
[_]
A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J)
(k)
[_]
Group, in accordance with Rule 13d-1(b)(1)(ii)(K)

 
 
 
 
 
 
Item 4.
Ownership.

Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.

(a)
Amount beneficially owned:
   
12,389,590 Shares Common Stock
   
(b)
Percent of class:
   
22.2%
   
(c)
Number of shares as to which such person has:

 
(i)
Sole power to vote or to direct the vote:
   
SEE ITEM 5 OF COVER PAGES
   
 
(ii)
Shared power to vote or to direct the vote:
   
SEE ITEM 6 OF COVER PAGES
   
 
(iii)
Sole power to dispose or to direct the disposition of:
   
SEE ITEM 7 OF COVER PAGES
   
 
(iv)
Shared power to dispose or to direct the disposition of
   
SEE ITEM 8 OF COVER PAGES

Item 5.
Ownership of Five Percent or Less of a Class.

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [_]

Item 6.
Ownership of More Than Five Percent on Behalf of Another Person.
   
 
NOT APPLICABLE
   
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.

Merrill Lynch, Pierce, Fenner & Smith Incorporated is a wholly owned subsidiary of Bank of America Corporation.

Item 8.
Identification and Classification of Members of the Group.
   
 
NOT APPLICABLE
   
Item 9.
Notice of Dissolution of Group.
 
NOT APPLICABLE
   
 
 
 
 
 
 
 
Item 10.
Certifications.

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

February 4, 2010


BANK OF AMERICA CORPORATION
  
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
     
     
     
By:
  /s/ Debra Cho
  
By:
  /s/ Robert Shine
 
Name:
Debra Cho
    
Name:
Robert Shine
 
Title:
Senior Vice President
    
Title:
Attorney-In-Fact

* Executed on behalf of Merrill Lynch, Pierce, Fenner & Smith Incorporated pursuant to a Power of Attorney, dated January 28, 2010, a copy of which is attached hereto as Exhibit A.

* The Reporting Persons have entered into a Joint Filing Agreement, a copy of which is attached hereto as Exhibit B.
 
 
 
 
 
 
 
Schedule 13G
Exhibit A
Power of Attorney

To Prepare and Execute Documents Pursuant to
Sections 13 and 16 of the
Securities and Exchange Act of 1934, as Amended (the "Exchange Act")
and Rules thereunder, by and on Behalf of

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

The undersigned, Merrill Lynch, Pierce, Fenner & Smith Incorporated (the "Corporation"), a corporation duly organized under the laws of Delaware, with its principal place of business at One Bryant Park, New York, New York, 10036, hereby constitutes and appoints Christopher B. Hayward, Robert M. Shine, Lawrence Emerson of Enterprise Compliance Shared Services, Angelina Richardson of Enterprise Compliance Shared Services and any individual from time to time elected or appointed as Secretary or Assistant Secretary of the Corporation, each individually its true and lawful attorney-in-fact, for it and in its name, place and stead to:

(1)  prepare and execute on behalf of the Corporation, and cause to be filed and/or delivered, as required by the United States Securities and Exchange Commission pursuant to Sections 13 and 16 of the Exchange Act, all forms, schedules, reports and other documents relating to the Corporation's direct or indirect ownership of securities which must be reported under the Exchange Act; and

(2)  take any other action of any type whatsoever in connection with the foregoing which, in the opinion of each such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by each such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as each such attorney-in-fact may approve in his or her discretion.

This Power of Attorney shall (i) supercede the Power of Attorney dated May 29, 2009 and August 12, 2009, respectively, (ii) automatically terminate upon such attorney-in-fact's transfer out from Enterprise Compliance Shared Services or resignation or termination from Bank of America Corporation or its affiliates, and (iii) unless automatically terminated pursuant to clause (ii), remain in effect until revoked in writing by the undersigned; provided that such termination or revocation shall have no impact on any form, schedule, report or other document executed or any action by an attorney-in-fact taken prior to such termination or revocation.

IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney,
this 28th day of January 2010.

 
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
   
   
 
By:
/s/ Michael B. Radest
 
Name:
Michael B. Radest
 
Title:
Senior Vice President and Co-Chief Compliance Officer
 
 
 
 
 
 
 
Schedule 13G
Exhibit B
JOINT FILING AGREEMENT
 
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, each of the persons named below agrees to the joint filing of a statement on Schedule 13G (including amendments thereto) with respect to the common stock, $0.001 par value per share, of Uni-Pixel, Inc., a corporation incorporated under the laws of the State of Delaware, and further agrees that this Joint Filing Agreement be included as an exhibit to such filings; provided, that, as contemplated by Section 13d-1(k)(1)(ii), no person shall be responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.

IN WITNESS WHEREOF, the undersigned has duly executed this Joint Filing Agreement as of this 4th day of February, 2010.


 
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
   
   
 
By:
/s/ Robert Shine
 
Name:
Robert Shine
 
Title:
Attorney-In-Fact
 
Date:
February 4, 2010
   
   
 
BANK OF AMERICA CORPORATION
   
   
 
By:
/s/ Debra Cho
 
Name:
Debra Cho
 
Title:
Senior Vice President
 
Date:
February 4, 2010

 
 
 
 
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