SC 13G/A 1 d599579dsc13ga.htm SC 13G/A SC 13G/A

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 2)*

 

 

Uni-Pixel, Inc.

(Name of Issuer)

Common Stock, $0.001 par value

(Title of Class of Securities)

904572203

(CUSIP Number of Class of Securities)

Ryan J. York

Davis Wright Tremaine

1201 Third Avenue, Suite 2200

Seattle, WA 98101-3045

(206) 622-3150

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

September 10, 2013

(Date of Event Which Requires Filing of this Statement)

 

 

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

¨ Rule 13d-1(b)

x 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 disclosures provided in a prior cover page.

The information required on 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 (“Act”) 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).

 

 

 

 

Page 1 of 10


SCHEDULE 13G

 

CUSIP No. 904572203  

 

  1   

Names of Reporting Persons

I.R.S. Identification Nos. of above persons (entities only)

 

Kevin Douglas

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ¨        (b)  x

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

     

Sole Voting Power

 

-0-

   6   

Shared Voting Power

 

-0-

   7   

Sole Dispositive Power

 

-0-

   8   

Shared Dispositive Power

 

-0-

   9  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-

  10  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares    ¨

 

  11  

Percent of Class Represented by Amount in Row (9)

 

0.0%

  12  

Type of Reporting Person

 

IN

 

 

Page 2 of 10


SCHEDULE 13G

 

CUSIP No. 904572203  

 

  1   

Names of Reporting Persons

I.R.S. Identification Nos. of above persons (entities only)

 

Michelle Douglas

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ¨        (b)  x

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

     

Sole Voting Power

 

-0-

   6   

Shared Voting Power

 

-0-

   7   

Sole Dispositive Power

 

-0-

   8   

Shared Dispositive Power

 

-0-

   9  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-

  10  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares    ¨

 

  11  

Percent of Class Represented by Amount in Row (9)

 

0.0%

  12  

Type of Reporting Person

 

IN

 

 

Page 3 of 10


SCHEDULE 13G

 

CUSIP No. 904572203  

 

  1   

Names of Reporting Persons

I.R.S. Identification Nos. of above persons (entities only)

 

K&M Douglas Trust (1)

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ¨        (b)  x

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

California

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

     

Sole Voting Power

 

-0-

   6   

Shared Voting Power

 

-0-

   7   

Sole Dispositive Power

 

-0-

   8   

Shared Dispositive Power

 

-0-

   9  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-

  10  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares    ¨

 

  11  

Percent of Class Represented by Amount in Row (9)

 

0.0% (3)

  12  

Type of Reporting Person

 

OO

 

(1) Kevin and Michelle Douglas, husband and wife, are beneficiaries and co-trustees.

 

Page 4 of 10


SCHEDULE 13G

 

CUSIP No. 904572203  

 

  1   

Names of Reporting Persons

I.R.S. Identification Nos. of above persons (entities only)

 

Douglas Family Trust (1)

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ¨        (b)  x

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

California

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

     

Sole Voting Power

 

-0-

   6   

Shared Voting Power

 

-0-

   7   

Sole Dispositive Power

 

-0-

   8   

Shared Dispositive Power

 

-0-

   9  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-

  10  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares    ¨

 

  11  

Percent of Class Represented by Amount in Row (9)

 

0.0%

  12  

Type of Reporting Person

 

OO

 

(1) James E. Douglas Jr. and Jean A Douglas, husband and wife, are co-trustees.

 

Page 5 of 10


SCHEDULE 13G

 

CUSIP No. 904572203  

 

  1   

Names of Reporting Persons

I.R.S. Identification Nos. of above persons (entities only)

 

James Douglas and Jean Douglas Irrevocable Descendants’ Trust (1)

  2  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ¨        (b)  x

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

California

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

     

Sole Voting Power

 

-0-

   6   

Shared Voting Power

 

-0-

   7   

Sole Dispositive Power

 

-0-

   8   

Shared Dispositive Power

 

-0-

   9  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-

  10  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares    ¨

 

  11  

Percent of Class Represented by Amount in Row (9)

 

0.0% (2)

  12  

Type of Reporting Person

 

OO

 

(1) Kevin Douglas and Michelle Douglas, husband and wife, are co-trustees.

 

Page 6 of 10


Item 1.

 

  (a) Name of Issuer:
       Uni-Pixel, Inc. (the “Issuer”)

 

  (b) Address of Issuer’s Principal Executive Offices:
       8708 Technology Forest Place, Suite 100
       The Woodlands, Texas
       77381

Item 2.

 

  (1)(a) NAME OF PERSONS FILING:
       Kevin Douglas
       Michelle Douglas

 

  (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
       125 E. Sir Francis Drake Blvd., Ste 400
       Larkspur, CA 94939

 

  (c) CITIZENSHIP:
       United States

 

  (d) TITLE OF CLASS OF SECURITIES:
       Common Stock, $0.001 par value

 

  (e) CUSIP NUMBER:
       904572203

 

  (2)(a) NAME OF PERSONS FILING:
       K&M Douglas Trust
       Douglas Family Trust
       James Douglas and Jean Douglas Irrevocable Descendants’ Trust

 

  (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
       125 E. Sir Francis Drake Blvd., Ste 400
       Larkspur, CA 94939

 

  (c) CITIZENSHIP:
       California

 

  (d) TITLE OF CLASS OF SECURITIES:
       Common Stock, $0.001 par value

 

  (e) CUSIP NUMBER:
       904572203

 

Page 7 of 10


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) ¨     Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

  (b) ¨     Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

  (c) ¨     Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

  (d) ¨     Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8)

 

  (e) ¨     An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

  (f) ¨     An employee benefit plan or endowment fund in accordance with §240.13d- 1(b)(1)(ii)(F);

 

  (g) ¨     A parent holding company or control person in accordance with §240.13d- 1(b)(1)(ii)(G);

 

  (h) ¨     A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

  (i) ¨     A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

  (j) ¨      Group, in accordance with §240.13d-1(b)(1)(ii)(J)

Not Applicable.

 

Page 8 of 10


Item 4. Ownership

Reference is made as to each of the Reporting Persons hereunder to Rows 5-9 and 11 of each of the cover pages of this Schedule 13G and associated footnotes, which are incorporated by reference herein.

Each of the Reporting Persons hereunder may be deemed a member of a “group” within the meaning of Section 13(d)(3) of the Exchange Act, or Rule 13d-5 promulgated under the Exchange Act with one or more of the other Reporting Persons hereunder. Although the Reporting Persons are reporting such securities as if they were members of a “group,” the filing of this Schedule 13G shall not be construed as an admission by any Reporting Person that such Reporting Person is a beneficial owner of any securities other than those directly held by such Reporting Person.

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 five percent of the class of securities, check the following: x

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

Not applicable.

Item 8. Identification and Classification of Members of the Group

See Item 4 of this Schedule 13G/A and the Joint Filing Agreement attached hereto as Exhibit A.

Item 9. Notice of Dissolution of Group

Not applicable.

Item 10. Certification

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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.

 

page 9 of 10


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: September 16, 2013    

* Kevin Douglas

    KEVIN DOUGLAS
Date: September 16, 2013    

* Michelle Douglas

    MICHELLE DOUGLAS
    K&M DOUGLAS TRUST
Date: September 16, 2013    

* Kevin Douglas

    By:   Kevin Douglas
    Title:   Trustee
Date: September 16, 2013    

* Michelle Douglas

    By:   Michelle Douglas
    Title:   Trustee
    DOUGLAS FAMILY TRUST
Dated: September 16, 2013    

* James E. Douglas, Jr.

    By:   James E. Douglas, Jr.
    Title:   Trustee
Date: September 16, 2013    

* Jean A. Douglas

    By:   Jean A. Douglas
    Title:   Trustee
    JAMES DOUGLAS AND JEAN DOUGLAS
    IRREVOCABLE DESCENDANTS’ TRUST
Date: September 16, 2013    

* Kevin Douglas

    By:   Kevin Douglas
    Title:   Trustee
Date: September 16, 2013    

* Michelle Douglas

    By:   Michelle Douglas
    Title:   Trustee

 

*By:  

/s/ Eileen Wheatman

 

Eileen Wheatman

Attorney-in-fact


EXHIBIT A

JOINT FILING AGREEMENT

This Joint Filing Agreement (this “Agreement”) hereby confirms the agreement by and among all of the undersigned that the Schedule 13G/A to which this Agreement is attached as Exhibit A with respect to the beneficial ownership of the undersigned of shares Common Stock of Uni-Pixel, Inc. is being filed on behalf of each of the undersigned. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.

 

Date: September 16, 2013    

* Kevin Douglas

    KEVIN DOUGLAS
Date: September 16, 2013    

* Michelle Douglas

    MICHELLE DOUGLAS
    K&M DOUGLAS TRUST
Date: September 16, 2013    

* Kevin Douglas

    By:   Kevin Douglas
    Title:   Trustee
Date: September 16, 2013    

* Michelle Douglas

    By:   Michelle Douglas
    Title:   Trustee
    DOUGLAS FAMILY TRUST
Dated: September 16, 2013    

* James E. Douglas, Jr.

    By:   James E. Douglas, Jr.
    Title:   Trustee
Date: September 16, 2013    

* Jean A. Douglas

    By:   Jean A. Douglas
    Title:   Trustee
    JAMES DOUGLAS AND JEAN DOUGLAS
    IRREVOCABLE DESCENDANTS’ TRUST
Date: September 16, 2013    

* Kevin Douglas

    By:   Kevin Douglas
    Title:   Trustee
Date: September 16, 2013    

* Michelle Douglas

    By:   Michelle Douglas
    Title:   Trustee

 

*By:  

/s/ Eileen Wheatman

 

Eileen Wheatman

Attorney-in-fact