SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
TUDOR INVESTMENT CORP ET AL

(Last) (First) (Middle)
ATTN: STEPHEN N. WALDMAN
1275 KING STREET

(Street)
GREENWICH CT 06831-2936

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Uni-Pixel [ UNXL ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/06/2009
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/06/2009 J(1) 4,929,111(1) A(1) (1) 4,929,111(1) I(2) See Footnotes(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series B Preferred Stock $0 11/06/2009 J(1) 769,974(1) 02/13/2007 (6) Common Stock(1) 4,929,111(1) $0.00(1) 0(1) I(2) See Footnotes(2)
Warrant to Purchase Common Stock $1.24 11/06/2009 J(3) 1,645,647(3) 02/13/2007 02/13/2017 Common Stock 1,645,647 $0.00(3) 0(3) I(4)(5) See Footnotes(4)(5)
1. Name and Address of Reporting Person*
TUDOR INVESTMENT CORP ET AL

(Last) (First) (Middle)
ATTN: STEPHEN N. WALDMAN
1275 KING STREET

(Street)
GREENWICH CT 06831-2936

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
JONES PAUL TUDOR II

(Last) (First) (Middle)
C/O TUDOR INVESTMENT CORPORATION
1275 KING STREET

(Street)
GREENWICH CT 06831-2936

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director 10% Owner
Officer (give title below) X Other (specify below)
Chairman of Tudor
Explanation of Responses:
1. 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).
2. 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.
3. 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.
4. 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.
5. 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.
6. The Preferred Stock was convertible into Common Stock at any time.
TUDOR INVESTMENT CORPORATION by /s/ Stephen N. Waldman, Managing Director 11/10/2009
Paul Tudor Jones II 11/10/2009
** Signature of Reporting Person Date
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