0001512291-11-000006.txt : 20110406 0001512291-11-000006.hdr.sgml : 20110406 20110406153941 ACCESSION NUMBER: 0001512291-11-000006 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110406 DATE AS OF CHANGE: 20110406 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIPIXEL INC CENTRAL INDEX KEY: 0001375996 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86165 FILM NUMBER: 11743119 BUSINESS ADDRESS: STREET 1: 8708 TECHNOLGY FOREST PLACE STREET 2: SUITE 100 CITY: WOODLANDS STATE: TX ZIP: 77381 BUSINESS PHONE: 281-825-4500 MAIL ADDRESS: STREET 1: 8708 TECHNOLGY FOREST PLACE STREET 2: SUITE 100 CITY: WOODLANDS STATE: TX ZIP: 77381 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Goldberg Capital Management CENTRAL INDEX KEY: 0001512291 IRS NUMBER: 000000000 STATE OF INCORPORATION: CT FISCAL YEAR END: 1210 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 27 STAGECOACH ROAD CITY: AVON STATE: CT ZIP: 06001 BUSINESS PHONE: 8606730141 MAIL ADDRESS: STREET 1: 27 STAGECOACH ROAD CITY: AVON STATE: CT ZIP: 06001 SC 13G/A 1 unipixel13g.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Uni-Pixel Inc. ---------------------------------------------------------------- ---------------- (Name of Issuer) Common Stock ---------------------------------------------------------------- ---------------- (Title of Class of Securities) 904572203 ---------------------------------------------------------------- ---------------- (CUSIP Number) April 5, 2011 ---------------------------------------------------------------- ---------------- (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) CUSIP NO. ---------------------------------------------------------------- ---------------- 1 NAME OF REPORTING PERSON SS OR IRS IDENTIFICATION NO. OF ABOVE PERSON Goldberg Capital Management 000-00-0000 (self) ---------------------------------------------------------------- ---------------- 2 CHECK APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| ---------------------------------------------------------------- ---------------- 3 SEC USE ONLY ---------------------------------------------------------------- ---------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Connecticut ---------------------------------------------------------------- ---------------- 5 SOLE VOTING POWER 82,000 NUMBER OF ---------------------------------------------- ---------------- SHARES 6 SHARED VOTING POWER BENFICIALLY OWNED BY na EACH ---------------------------------------------- ---------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 602,285 ---------------------------------------------- ---------------- 8 SHARED DISPOSITIVE POWER na ---------------------------------------------------------------- ---------------- 9 AGGREGATE AMOUNT BENFICIALLY OWNED BY EACH REPORTING PERSON 602,285 ---------------------------------------------------------------- ---------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES |_| ---------------------------------------------------------------- ---------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.39% ---------------------------------------------------------------- ---------------- 12 TYPE OF REPORTING PERSON IA ---------------------------------------------------------------- ---------------- Item 1. a) Name of Issuer: UniPixel Corporation b) Address: 8708 Technology Forest Place., STE. 100 Woodland, TX 77381 Item 2. a) Name of Filer: Goldberg Capital Management b) Address of Filer: 27 Stagecoach Road Avon, CT 06001 c) Citizenship: Connecticut d) Title of Class of Securities: Common Stock e) CUSIP Number: 904572203 Item 3. Item 3. If this statement is filed pursuant to Rule 13d- 1(b), or 13d-2(b), check whether the person filing is a: (a) |_| Broker or Dealer registered under Section 15 of the Act (b) |_| Bank as defined in section 3 (a) (6) of the Act (c) |_| Insurance Company as defined in section 3 (a) (6) of the Act (d) |_| Investment Company registered under section 8 of the Investment Company Act (e) |X| Investment Adviser registered under section 203 of the Investment Advisers act of 1940 (f) |_| Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see 240.13d-1 (b) (1) (ii) (F) (g) |_| Parent Holding Company, in accordance with 240.13d-1 (b) (ii) (G) (Note: See Item 7) (h) |_| Group, in accordance with 240.13d-1(b) (1) (ii) (H) Item 4. Ownership a) Amount beneficially owned: 602,285 b) Percent of Class: 6.39% c) Number of shares: (i) Sole voting power -- 82,000 (ii) Shared voting power -- na (iii) Sole disposal power -- 602,285 (iv) Shared disposal power - na Item 5. Less than 5% beneficial ownership 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 five percent of the class of securities, check the following [ ]. Item 6. More than 5% on behalf of another na Item 7. Subsidiary na Item 8. If group na Item 9. Notice of Dissolution na Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes 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. Date April 5, 2011 By: /s/, Leonard L. Goldberg - Owner --------------------------------------- Name, Title