IPO registrations (S-1, F-1) · Registrants
Uni-Pixel
- SEC CIK
- 1171012 · filings on EDGAR ↗
- Former names
- REAL ESTATEFOR LEASE COM INC (2002–2002)
- Registration
- Form S-1, first filed 2010-09-09, last 2010-12-01; 1 initial registration, 3 amendments
- Outcome
- Final prospectus filed 2010-12-13; declared effective 2010-12-09
- Industry (SIC)
- Electronic Components, NEC 3679
- Incorporated in
- DE
- Business address
- 4699 OLD IRONSIDE DRIVE, SUITE 300, Santa Clara, CA 95054
- EIN
- 75-2926437
- EDGAR entity type
- operating
- Insiders and CEO pay
- Uni-Pixel on the corporate pages
Offering terms
- Final price
- $5.00 per share (424B1 filed 2010-12-13)
- Shares sold
- 3,000,000
- Gross proceeds
- $15,000,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol UNXLD
- Lead underwriters
- Restricted cash (34,877 shares)
- Syndicate
- Balance Sheets September 30 (2,010); December 31 (2,009)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Form D issuer: Uni-Pixel EXACT (CIK (EXACT))
- SEC filer: Uni-Pixel EXACT (CIK (EXACT))
- Person page: Bruce I Berkoff Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 7
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2010-09-09 | S-1 | S-1 (registration) | Uni-Pixel | 0001104659-10-047840 ↗ |
| 2010-10-12 | S-1/A | S-1/A (amendment) | Uni-Pixel | 0001104659-10-052042 ↗ |
| 2010-11-02 | S-1/A | S-1/A (amendment) | Uni-Pixel | 0001104659-10-055224 ↗ |
| 2010-12-01 | S-1/A | S-1/A (amendment) | Uni-Pixel | 0001104659-10-060705 ↗ |
| 2010-12-09 | EFFECT | EFFECT (declared effective) | Uni-Pixel | 9999999995-10-003504 ↗ |
| 2010-12-13 | 424B1 | 424B1 (final prospectus) | Uni-Pixel | 0001104659-10-062403 ↗ |
| 2012-06-08 | EFFECT | EFFECT (declared effective) | Uni-Pixel | 9999999995-12-001783 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2010-12-01 | S-1/A | registration statement | $5.00 | 3,000,000 | $15,000,000 | Nasdaq UNXL | 3 | primary document; price sentence, shares headline, proceeds computed, underwriting table 3 | document ↗ | |
| 2010-12-13 | 424B1 | final prospectus | $5.00 | 3,000,000 | $15,000,000 | Nasdaq UNXLD | 0 | primary document; price sentence, shares headline, proceeds table | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Baquet William | TenPercentOwner | 2 | 2006 | ||
| Fordham Financial Management, Inc. | TenPercentOwner | 2 | 2006 | ||
| JONES PAUL TUDOR II | Other | 5 | 2007–2009 | ||
| PALLOTTA JAMES J | Other; TenPercentOwner | 6 | 2007–2012 | ||
| TUDOR INVESTMENT CORP ET AL | Director,TenPercentOwner; TenPercentOwner | 5 | 2007–2009 | ||
| BROGGI ROBERT MCGOVERN | Director; Other | 2 | 2007–2009 | ||
| Calaba Victor Frank | Director | 2 | 2007–2009 | ||
| Killion Reed J | Director,Officer | Chief Executive Officer; Former Chief Executive Officer; President | 8 | 2007–2013 | |
| Tassone James A | Director,Officer | Chief Financial Officer | 1 | 2007 | |
| MERRILL LYNCH & CO INC | TenPercentOwner | 1 | 2007 | ||
| MERRILL LYNCH PIERCE FENNER & SMITH INC | Other; TenPercentOwner | 7 | 2007–2013 | ||
| BANK OF AMERICA CORP /DE/ | Other; TenPercentOwner | 7 | 2009–2013 | ||
| RAPTOR CAPITAL MANAGEMENT LP | TenPercentOwner | 3 | 2009–2012 | ||
| RAPTOR GLOBAL PORTFOLIO LTD | TenPercentOwner | 2 | 2009 | ||
| RAPTOR HOLDCO GP LLC | TenPercentOwner | 3 | 2009–2012 | ||
| ALTAR ROCK FUND LP | TenPercentOwner | 1 | 2009 | ||
| RAPTOR CAPITAL MANAGEMENT GP LLC | TenPercentOwner | 2 | 2009–2012 | ||
| RAPTOR CAPITAL MANAGEMENT, INC | TenPercentOwner | 2 | 2009–2012 | ||
| RAPTOR GROUP HOLDINGS LP | TenPercentOwner | 2 | 2009–2012 | ||
| Berkoff Bruce I | Director | 10 | 2011–2015 | person page Fuzzy | |
| MARREN BERNARD T | Director | 9 | 2011–2015 | ||
| TOMZ JEFFREY W | Officer | Chief Financial Officer | 9 | 2011–2013 | |
| Van Ostrand Daniel K | Officer; Other | Senior Vice President | 8 | 2011–2014 | |
| Young Ross Adam | Director | 22 | 2011–2017 | ||
| PETCAVICH ROBERT J | Officer | Senior Vice President | 7 | 2011–2013 | |
| LEVECCHIO ANTHONY J | Director | 20 | 2011–2017 | ||
| Patterson William Wayne | Director | 7 | 2011–2015 | ||
| Shin Seong Sik | Officer; Other | Chief Operating Officer | 6 | 2011–2014 | |
| Altar Rock Fund Liquidating Trust | TenPercentOwner | 1 | 2012 | ||
| Raptor Global Portfolio Liquidating Trust | TenPercentOwner | 1 | 2012 | ||
| YANKOWSKI CARL | Director | 7 | 2012–2015 | ||
| Rusenko Robert Anthony | Officer | Chief Operating Officer | 2 | 2014–2015 | |
| HAWTHORNE JEFFREY ALAN | Director; Director,Officer | CEO and President; CEO and President*; CEO & President | 15 | 2014–2017 | |
| THOMPSON MALCOLM | Director | 11 | 2014–2017 | ||
| Kholodenko Arnold | Officer | SR VP R&D | 1 | 2014 | |
| CHRISTINE RUSSELL | Director,Officer; Officer | CEO and President; Chief Financial Officer | 16 | 2015–2017 | |
| DORAN JAMES E | Director | 8 | 2016–2017 | ||
| Young Sam I | Director | 9 | 2016–2017 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2015-04-17 | Uni-Pixel | Other Technology | $20,000,000 | $15,000,000 | 2 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Form D issuer | Uni-Pixel | TX | Form D private offerings | CIK (EXACT) |
| SEC filer | Uni-Pixel | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Uni-Pixel, Inc. | CA | Trademarks (USPTO) | name and state |
| Person page | Bruce I Berkoff | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Electronic Components, NEC, CA first:
- POWER ONE INC CA
- SAGE INC/CA CA
- ALTEON WEBSYSTEMS INC CA
- CHEROKEE INTERNATIONAL CORP CA
- MCMS INC /DE/ CA
- Alien Technology Corp CA
- Voice Life Inc CA
- INNOVATIVE MICRO TECHNOLOGY INC CA
- TELESENSORY CORP CA
- CONDUCTUS INC CA
In other datasets, the same topic (Technology) in CA:
- Lobbying client: 8X8, INC. (Federal lobbying (LDA))
Interests: Electronic Components, NEC · Technology