-----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, L2rqg3kdz52uUl/Ite5Ad6GRFT79QedicIJ0Rw0AmdtyvgYh2e0mP49VLD52Co7C zNEnt53FKlwPy+89lVuLLQ== 0001181431-09-050893.txt : 20091110 0001181431-09-050893.hdr.sgml : 20091110 20091110171347 ACCESSION NUMBER: 0001181431-09-050893 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091106 FILED AS OF DATE: 20091110 DATE AS OF CHANGE: 20091110 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: 091172801 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: 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: 091172802 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 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 4 1 rrd256798.xml FORM 4 - UNI-PIXEL - 11-10-09 X0303 4 2009-11-06 1 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 Common Stock 2009-11-06 4 J 0 4929111 A 4929111 I See Footnotes Series B Preferred Stock 0 2009-11-06 4 J 0 769974 0.00 D 2007-02-13 Common Stock 4929111 0 I See Footnotes Warrant to Purchase Common Stock 1.24 2009-11-06 4 J 0 1645647 0.00 D 2007-02-13 2017-02-13 Common Stock 1645647 0 I See Footnotes The Series B Preferred Stock (the "Preferred Stock") of Uni-Pixel, Inc. (the "Company") was reclassified into Common Stock of the Company (the "Common Stock")(collectively, the "Reclassification"), with an effective date of November 6, 2009. The Tudor BVI Global Portfolio L.P. ("BVI") was a holder of the Preferred Stock (769,974.40 shares), and in connection with the Reclassification of the Preferred Stock to the Common Stock (3,849,872 shares) also received additional Common Stock relating to accrued and additionally awarded dividends (1,079,239 shares). Tudor Investment Corporation ("TIC") is the trading advisor to BVI. The 4,929,111 shares of Common Stock reported herein as indirectly beneficially owned by TIC are directly beneficially owned by BVI. Because TIC provides investment advisory services to BVI, TIC may be deemed to beneficially own the Common Stock owned by BVI. TIC disclaims beneficial ownership of the securities reported herein as indirectly owned except to the extent of its pecuniary interest in such securities. Because Paul Tudor Jones ("Jones") is the controlling shareholder of TIC, Jones may be deemed to indirectly beneficially own the Common Stock deemed indirectly beneficially owned by TIC. Jones expressly disclaims such beneficial ownership. In connection with the Reclassification, this Warrant to Purchase Common Stock (the "Warrant") held by BVI was canceled, and a new warrant to purchase 1,896,495 shares of Common Stock was issued to BVI (the "New Warrant"). By the terms of the New Warrant it prohibits exercise within sixty (60) days to the extent that such exercise would cause BVI to own in excess of 9.99% of the Common Stock. TIC is the trading advisor to BVI. The Warrants reported herein as indirectly beneficially owned by TIC are directly beneficially owned by BVI. Because TIC provides investment advisory services to BVI, TIC may be deemed to beneficially own the Warrants owned by BVI. 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 may be deemed to be indirectly beneficially owned by TIC (see Footnote 5). Because Jones is the controlling shareholder of TIC, Jones may be deemed to indirectly beneficially own the Warrants deemed indirectly beneficially owned by TIC. Jones expressly disclaims such beneficial ownership. The Preferred Stock was convertible into Common Stock at any time. TUDOR INVESTMENT CORPORATION by /s/ Stephen N. Waldman, Managing Director 2009-11-10 Paul Tudor Jones II 2009-11-10 -----END PRIVACY-ENHANCED MESSAGE-----