Filing Details
- Accession Number:
- 0001209191-11-033605
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-06-07 21:13:37
- Reporting Period:
- 2011-04-28
- Filing Date:
- 2011-06-07
- Accepted Time:
- 2011-06-07 21:13:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1171012 | Uni-Pixel | UNXL | Electronic Components, Nec (3679) | 752926437 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 70858 | Bank Of America Corp /De/ | Bank Of America Corporate Center 100 N Tryon St. Charlotte NC 28255 | No | No | Yes | No | |
| 728612 | Merrill Lynch, Pierce, Fenner & Smith Inc. | 4 World Financial Center North Tower New York NY 10080 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-04-28 | 534 | $7.04 | 645,273 | No | 4 | L | Indirect | By subsidiary |
| Common Stock | Disposition | 2011-04-28 | 534 | $7.72 | 644,739 | No | 4 | S | Indirect | By subsidiary |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | L | Indirect | By subsidiary |
| No | 4 | S | Indirect | By subsidiary |
Footnotes
- Transaction executed by the error correction department of Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPFS"), a broker-dealer and wholly owned subsidiary of Merrill Lynch & Co., Inc., a wholly owned subsidiary of Bank of America Corporation ("BAC"), a Delaware corporation and bank holding company registered under the Bank Holding Company Act of 1956, to correct errors made in connection with agency brokerage trades made on behalf of clients of MLPFS.
- In connection with this transaction, BAC has agreed to voluntarily remit realized profits, if any, to the issuer. BAC disclaims that such transaction is subject to reporting under Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or disgorgement under Section 16(b) of the Exchange Act, and neither any statement in this report on Form 4 nor BAC's remittance to the issuer of any profits related to such transaction shall be deemed an admission that Sections 16(a) and 16(b) of the Exchange Act apply to such transaction.
- Each of the reporting persons disclaims beneficial ownership of these shares, except to the extent of its pecuniary interest therein.
- The transactions reported on this report on Form 4 were effected by MLPFS.
Billionaire Hedge Funds
