-----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, Qlfa+DwLnv1NolrZ04ZiJ2R6RLzrIz0+ZFpg7JoA9SneTQ1sUdyMxq+lmo6iJfxQ 6BjbohC0nPMHNIAdaDDTEw== 0000902664-09-000045.txt : 20090112 0000902664-09-000045.hdr.sgml : 20090112 20090112143031 ACCESSION NUMBER: 0000902664-09-000045 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090101 FILED AS OF DATE: 20090112 DATE AS OF CHANGE: 20090112 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: RAPTOR GLOBAL PORTFOLIO LTD CENTRAL INDEX KEY: 0001453152 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 09521393 BUSINESS ADDRESS: STREET 1: RAPTOR CAPITAL MANAGEMENT LP STREET 2: 50 ROWES WHARF, 6TH FL CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617 772 4652 MAIL ADDRESS: STREET 1: RAPTOR CAPITAL MANAGEMENT LP STREET 2: 50 ROWES WHARF, 6TH FL CITY: BOSTON STATE: MA ZIP: 02110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RAPTOR HOLDCO GP LLC CENTRAL INDEX KEY: 0001453154 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 09521392 BUSINESS ADDRESS: STREET 1: RAPTOR CAPITAL MANAGEMENT LP STREET 2: 50 ROWES WHARF, 6TH FL CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617 772 4652 MAIL ADDRESS: STREET 1: RAPTOR CAPITAL MANAGEMENT LP STREET 2: 50 ROWES WHARF, 6TH FL CITY: BOSTON STATE: MA ZIP: 02110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RAPTOR CAPITAL MANAGEMENT LP CENTRAL INDEX KEY: 0001453155 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-49737 FILM NUMBER: 09521394 BUSINESS ADDRESS: STREET 1: RAPTOR CAPITAL MANAGEMENT LP STREET 2: 50 ROWES WHARF, 6TH FL CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617 772 4652 MAIL ADDRESS: STREET 1: RAPTOR CAPITAL MANAGEMENT LP STREET 2: 50 ROWES WHARF, 6TH FL CITY: BOSTON STATE: MA ZIP: 02110 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: 09521391 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 p09-0019form3_ex.xml X0203 3 2009-01-01 0 0001171012 Uni-Pixel UNXL 0001453155 RAPTOR CAPITAL MANAGEMENT LP 50 ROWES WHARF, 6TH FL BOSTON MA 02110 0 0 1 0 0001453152 RAPTOR GLOBAL PORTFOLIO LTD 50 ROWES WHARF, 6TH FL BOSTON MA 02110 0 0 1 0 0001453154 RAPTOR HOLDCO GP LLC 50 ROWES WHARF, 6TH FL BOSTON MA 02110 0 0 1 0 0001296324 PALLOTTA JAMES J C/O RAPTOR CAPITAL MANAGEMENT LP 50 ROWES WHARF, 6TH FLOOR BOSTON MA 02110 0 0 1 0 Series B Preferred Stock 2009-01-01 Common Stock 12150128 I See Footnote Warrant to Purchase Common Stock 1.24 2009-01-01 2017-02-13 Common Stock 5193632 I See Footnote The Series B Preferred Stock (the "Preferred Stock") reported herein is convertible into Common Stock at any time. Pursuant to an agreement dated December 31, 2008, The Raptor Global Portfolio Ltd., a Cayman Islands exempted company (the "Master Fund"), the Altar Rock Fund L.P., a Delaware limited partnership ("Altar Rock"), another private investment fund now managed by Raptor Capital Management LP (the "Manager"), and other entities split off from the Tudor Investment Corporation ("TIC") and other entities (the "Split-off"). As a result of the Split-off, the Master Fund directly owns 2,409,526 shares of Preferred Stock (convertible into 12,047,632 shares of Common Stock) and 5,149,820 warrants to purchase 5,149,820 shares of Common Stock (the "Warrants"). Altar Rock directly owns 20,499 shares of the Preferred Stock (convertible into 102,496 shares of Common Stock) and 43,812 Warrants. On January 1, 2009, the Manager was delegated voting and dispositive authority over the securities directly owned by the Master Fund and Altar Rock. Raptor Holdco GP LLC, a Delaware limited liability company (the "General Partner") is the general partner of the Manager. The General Partner may be deemed to control the Manager and therefore may be deemed to beneficially own securities reported herein. The General Partner and the Manager disclaim beneficial ownership except to the extent of their pecuniary interest therein. James J. Pallotta is the managing member of the General Partner. As such, Mr. Pallotta may be deemed to beneficially own the securities reported herein. The Manager, the General Partner and Mr. Pallotta expressly disclaim such beneficial ownership except to the extent of their pecuniary interest therein. James J. Pallotta, individually and as managing member of Raptor Holdco GP LLC, for itself and as the general partner of Raptor Capital Management LP by /s/ Brian Daly, Attorney in Fact 2009-01-12 Roger Hanson, director of The Raptor Global Portfolio Ltd. by /s/ Brian Daly, Attorney in Fact 2009-01-12 -----END PRIVACY-ENHANCED MESSAGE-----