8-K 1 a10-17112_28k.htm CURRENT REPORT OF MATERIAL EVENTS OR CORPORATE CHANGES

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934

 

November 4, 2010

Date of Report (date of Earliest Event Reported)

 

UNI-PIXEL, INC.

(Exact Name of Small Business Issuer as Specified in Its Charter)

 

DELAWARE

 

75-2926437

(State or Other Jurisdiction of
Incorporation or Organization)

 

(I.R.S. Employer
Identification No.)

 

8708 Technology Forest Place, Suite 100
The Woodlands, Texas 77381

(Address of Principal Executive Offices)

 

(281) 825-4500

(Issuer’s Telephone Number, Including Area Code)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 


 

ITEM 7.01.  REGULATION FD DISCLOSURE.

 

Management of Uni-Pixel, Inc. (the “Company”) is scheduled to meet with investors during November 2010, to discuss the Company’s Form S-1 that was filed with the Securities Exchange Commission, the Company’s business, recent events, previously disclosed historical financial performance, and business projections.  A copy of the presentation slides containing the information that will be discussed with the investors is furnished as Exhibit 99.1 to this Current Report on Form 8-K and incorporated herein by reference.

 

ITEM 9.01.  FINANCIAL STATEMENTS AND EXHIBITS.

 

(d)      Exhibits

 

Exhibit
Number

 

Description

 

 

 

99.1

 

Presentation Slides

 

2


 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

Date: November 4, 2010

By:

/s/ Reed Killion

 

 

Name:  Reed Killion

 

 

Title:  Chief Executive Officer

 

3


 

EXHIBIT INDEX

 

Exhibit
Number

 

Description

 

 

 

99.1

 

Presentation Slides

 

4