-----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, GotmVqpBWnAvbM6kQ5FYIv0GmLPogoW9g1iImL4rulxxnoWLtM6Gzuu7nLu7j4po PKJgEZ66AKfMGlDHMfxejw== 0001181431-07-011968.txt : 20070215 0001181431-07-011968.hdr.sgml : 20070215 20070215165622 ACCESSION NUMBER: 0001181431-07-011968 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070213 FILED AS OF DATE: 20070215 DATE AS OF CHANGE: 20070215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JONES PAUL TUDOR II CENTRAL INDEX KEY: 0001270196 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 07628154 MAIL ADDRESS: STREET 1: C/O TUDOR INVESTMENT CORP STREET 2: 1275 KING ST CITY: GREENWICH STATE: CT ZIP: 06831 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TUDOR INVESTMENT CORP ET AL CENTRAL INDEX KEY: 0000923093 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 07628155 BUSINESS ADDRESS: STREET 1: 1275 KING STREET STREET 2: 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06831-2936 MAIL ADDRESS: STREET 1: 1275 KING STREET STREET 2: 2ND FLOOR CITY: GREENWICH STATE: CT ZIP: 06831-2936 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: 11940 JOLLYVILLE RD., SUITE 200N CITY: AUSTIN STATE: TX ZIP: 77004 BUSINESS PHONE: 512 370-2839 MAIL ADDRESS: STREET 1: 11940 JOLLYVILLE RD., SUITE 200N CITY: AUSTIN STATE: TX ZIP: 77004 FORMER COMPANY: FORMER CONFORMED NAME: REAL ESTATEFOR LEASE COM INC DATE OF NAME CHANGE: 20020411 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PALLOTTA JAMES J CENTRAL INDEX KEY: 0001296324 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 07628153 BUSINESS ADDRESS: STREET 1: C/O TUDOR INVESTMENT CORPORATION STREET 2: 50 ROWES WHARF, 6TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: (617) 772-4600 MAIL ADDRESS: STREET 1: C/O TUDOR INVESTMENT CORPORATION STREET 2: 50 ROWES WHARF, 6TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 3 1 rrd147413.xml UNI-PIXEL FORM 3 X0202 3 2007-02-13 0 0001171012 Uni-Pixel UNXL 0000923093 TUDOR INVESTMENT CORP ET AL ATTN: STEPHEN N. WALDMAN 1275 KING STREET GREENWICH CT 06831-2936 0 0 1 0 0001270196 JONES PAUL TUDOR II C/O TUDOR INVESTMENT CORPORATION 1275 KING STREET GREENWICH CT 06831-2936 0 0 0 1 Chairman of Tudor 0001296324 PALLOTTA JAMES J 50 ROWES WHARF, 6TH FLOOR BOSTON MA 02110 0 0 0 1 Member of Group Series B Preferred Stock 2007-02-13 Common Stock 14652624 I See Footnote Series B Preferred Stock 2007-02-13 Common Stock 16000000 I See Footnote Series B Preferred Stock 2007-02-13 Common Stock 16000000 I See Footnote Warrants to Purchase Common Stock 1.24 2007-02-13 2017-02-13 Common Stock 6263336 I See Footnote Warrants to Purchase Common Stock 1.24 2007-02-13 2017-02-13 Common Stock 6839279 I See Footnote Warrants to Purchase Common Stock 1.24 2007-02-13 2017-02-13 Common Stock 6839279 I See Footnote Tudor Investment Corporation ("TIC") is the investment adviser or trading advisor to each of The Tudor BVI Global Portfolio Ltd. ("BVI") and The Raptor Global Portfolio Ltd ("Raptor"), and the General Partner of The Altar Rock Fund L.P. ("Altar Rock"). The shares of Series B Preferred Stock (which convert one (1) share of Preferred Stock into five (5) shares of Common Stock) (collectively, "Common Stock") as reported herein as indirectly beneficially owned by TIC are directly beneficially owned by BVI (2,502,496 shares), Raptor (12,047,632 shares), and Altar Rock (102,496 shares). Because TIC is the sole General Partner of Altar Rock, and provides investment-advisory services to BVI and Raptor, TIC may be deemed to beneficially own the shares of Common Stock owned by each of such entities. TIC disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of its pecuniary interest in such s ecurities. The shares of Common Stock (the "Shares") are reported herein as indirectly beneficially owned by Paul Tudor Jones II. The Shares are owned indirectly by TIC (14,652,624 Shares) (see Footnote 1) and directly by Tudor Proprietary Trading, L.L.C. ("TPT") (1,347,376 Shares). Because Mr. Jones is the controlling shareholder of TIC and the indirect controlling equity holder of TPT, Mr. Jones may be deemed to beneficially own the Shares deemed beneficially owned by each of such entities. Mr. Jones expressly disclaims such beneficial ownership. The Shares are reported herein as indirectly beneficially owned by James J. Pallotta. The Shares are owned indirectly by TIC (14,652,624 Shares) (see Footnote 1) and directly by TPT (1,347,376 Shares) (see Footnote 2). Because Mr. Pallotta is the portfolio manager of TIC and TPT with respect to the Shares and may be deemed to have voting and investment authority with respect to the Shares, Mr. Pallotta may be deemed to beneficially own the Shares deemed beneficially owned by each of such entities. Mr. Pallotta expressly disclaims such beneficial ownership. The warrants to purchase Common Stock (the "Warrants") reported herein as indirectly beneficially owned by TIC are directly beneficially owned by BVI (1,069,704 Warrants), Raptor (5,149,820 Warrants), and Altar Rock (43,812 Warrants). Because TIC is the sole General Partner of Altar Rock, and provides investment-advisory services to BVI and Raptor, TIC may be deemed to beneficially own the Warrants owned by each of such entities. TIC disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of its pecuniary interest in such securities. The Warrants are reported herein as indirectly beneficially owned by Paul Tudor Jones II. The Warrants are owned indirectly by TIC (6,263,336 Warrants) (see Footnote 4) and directly by TPT (575,943 Warrants). Because Mr. Jones is the controlling shareholder of TIC and the indirect controlling equity holder of TPT, Mr. Jones may be deemed to beneficially own the Warrants deemed beneficially owned by each of such entities. Mr. Jones expressly disclaims such beneficial ownership. The Warrants are reported herein as indirectly beneficially owned by James J. Pallotta. The Warrants are owned indirectly by TIC (6,263,336 Warrants) (see Footnote 4) and directly by TPT (575,943 Warrants) (see Footnote 5). Because Mr. Pallotta is the portfolio manager of TIC and TPT with respect to the Warrants and may be deemed to have voting and investment authority with respect to the Warrants, Mr. Pallotta may be deemed to beneficially own the Warrants deemed beneficially owned by each of such entities. Mr. Pallotta expressly disclaims such beneficial ownership. The Preferred Stock is convertible into Common Stock at any time. TUDOR INVESTMENT CORPORATION by /s/ Stephen N. Waldman, Managing Director 2007-02-15 /s/ Paul Tudor Jones II 2007-02-15 /s/ James J. Pallotta 2007-02-15 -----END PRIVACY-ENHANCED MESSAGE-----