-----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, PANkjyfWoLZ6oRlpELl7HYHSrl77MhmTw4idQprnpr0f0UJ/QjSAFRfq/6GNBHhX +QKSre6jBHnSBFeaMzJsig== 0001209191-10-006781.txt : 20100204 0001209191-10-006781.hdr.sgml : 20100204 20100204104934 ACCESSION NUMBER: 0001209191-10-006781 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091104 FILED AS OF DATE: 20100204 DATE AS OF CHANGE: 20100204 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 10572881 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 10572880 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 5 1 doc5.xml FORM 5 SUBMISSION X0303 5 2009-11-04 0 0 1 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 Common Stock 2009-11-04 4 C 0 L 8340225 A 12389590 I By Subsidiary Common Stock 2009-11-04 4 J 0 L 377594 A 12389590 I By Subsidiary Series C Preferred Stock 1.40 2009-11-04 4 J 0 L 892858 0.00 D Common Stock 8717819 0 I By Subsidiary Warrant to Purchase Common Stock 1.40 2009-11-04 4 J 0 L 3214289 0.00 D Common Stock 3214289 0 I By Subsidiary Warrant to Purchase Common Stock 0.50 2009-11-04 4 J 0 L 3671771 0.00 A 2019-10-31 Common Stock 3671771 3671771 I By Subsidiary Pursuant to an Amended and Restated Conversion Agreement dated November 4, 2009 (the "Conversion Agreement"), Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPFS") surrendered and exchanged 892,858 shares of Uni-Pixel, Inc. Series C Preferred Stock ("Preferred Stock") for 8,717,819 shares of Uni-Pixel common stock ("Common Stock"), which included 377,594 shares relating to additionally awarded dividends. Each share of Preferred Stock was convertible into a number of shares of Common Stock equal to the quotient obtained by dividing $11.20, plus accrued and unpaid dividends, and any other declared and unpaid dividends, by $1.40. The transactions reported on this Form 5 were effected by MLPFS, an indirect, wholly owned subsidiary of Bank of America Corporation. The Preferred Stock was convertible at any time and had no expiration date. Pursuant to the Conversion Agreement, a warrant to purchase 3,214,289 shares of Common Stock for a purchase price of $1.40 per share was cancelled, and a new warrant to purchase 3,671,771 shares of Common Stock for a purchase price of $0.50 was issued to MLPFS. The original warrant was exercisable until it was forfeited and exchanged pursuant to the Conversion Agreement. The new warrant is currently exercisable. /s/ Debra Cho 2010-02-04 /s/ Robert Shine 2010-02-04 -----END PRIVACY-ENHANCED MESSAGE-----