-----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, Vet0t+dZvJ2MnFRWJY0IXEQIWDZdbwRJOCjrF5Bv8/OMKDl8pQ6ckY0atIBgUvrl g2zW24386u2/iL6gaXAZeQ== 0001181431-08-039752.txt : 20080619 0001181431-08-039752.hdr.sgml : 20080619 20080619165933 ACCESSION NUMBER: 0001181431-08-039752 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080617 FILED AS OF DATE: 20080619 DATE AS OF CHANGE: 20080619 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: JONES PAUL TUDOR II CENTRAL INDEX KEY: 0001270196 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 08908214 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: PALLOTTA JAMES J CENTRAL INDEX KEY: 0001296324 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 08908215 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TUDOR INVESTMENT CORP ET AL CENTRAL INDEX KEY: 0000923093 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 08908216 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 4 1 rrd211372.xml FORM 4 - UNI-PIXEL X0202 4 2008-06-17 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 0 2008-06-17 4 J 0 1347375 1.15 D 2007-02-13 Common Stock 1347375 16000000 I See Footnote Warrant to Purchase Common Stock 1.24 2008-06-17 4 J 0 575943 0.74 D 2007-02-13 2017-02-13 Common Stock 575943 6839279 I See Footnote Series B Preferred Stock 0 2008-06-17 4 J 0 1347375 1.15 A 2007-02-13 Common Stock 1347375 16000000 I See Fottnote Warrant to Purchase Common Stock 1.24 2008-06-17 4 J 0 575943 0.74 A 2007-02-13 2017-02-13 Common Stock 575943 6839279 I See Footnote The Preferred Stock is convertible into Common Stock at any time. On July 17, 2008 Tudor Proprietary Trading, L.L.C. ("TPT") transferred its Series B Preferred Stock (which convert one (1) share of Preferred Stock into five (5) shares of Common Stock) (collectively the "Common Stock") and the warrants to purchase Common Stock (the "Warrants") to The Tudor BVI Global Portfolio L.P. (f/k/a The Tudor BVI Global Portfolio Ltd.) ("BVI"). The shares of Common Stock (the "Shares") were transferred at the market closing price on June 16, 2008, the day immediately prior to the transfer date. The Warrants were transferred at a price derived using a proprietary option pricing model. Tudor Investment Corporation ("TIC") is the investment adviser or trading advisor to each of BVI and The Raptor Global Portfolio Ltd. ("Raptor"), and the General Partner of The Altar Rock Fund L.P. ("Altar Rock"). The shares of Common Stock as reported herein as indirectly beneficially owned by TIC is directly beneficially owned by BVI (3,849,870 shares), Raptor (12,047,635 shares), and Altar Rock (102,495 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 securities. The Shares are reported herein as indirectly beneficially owned by Paul Tudor Jones II. The Shares are owned indirectly by TIC (16,000,000 shares) (see Footnote 4). Because Mr. Jones is the controlling shareholder of TIC, Mr. Jones may be deemed to beneficially own the Shares deemed beneficially owned by TIC. 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 (16,000,000 shares) (see Footnote 4). Because Mr. Pallotta is the portfolio manager of TIC 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 TIC. The Warrants with an exercise date of February 13, 2007 reported herein as indirectly beneficially owned by TIC are directly beneficially owned by BVI (1,645,647 Warrants), Raptor (5,149,820 Warrants), and Altar Rock (43,812 Warrants). Because TIC provides investment-advisory services to BVI and Raptor, and is the sole General Partner of Altar Rock, 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 (6,839,279 Warrants) (see Footnote 7). Because Mr. Jones is the controlling shareholder of TIC, Mr. Jones may be deemed to beneficially own the Warrants deemed beneficially owned by TIC. 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 (6,839,279 Warrants) (see Footnote 7). Because Mr. Pallotta is the portfolio manager of TIC 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 TIC. Mr. Pallotta expressly disclaims such beneficial ownership. TUDOR INVESTMENT CORPORATION by /s/ Stephen N. Waldman, Managing Director 2008-06-19 Paul Tudor Jones II 2008-06-19 James J. Pallotta 2008-06-19 -----END PRIVACY-ENHANCED MESSAGE-----