Form D · Other Technology
Uni-Pixel
The Woodlands, TX · CIK 0001171012
Offering snapshot reported Apr 17, 2015 · SEC filing
- Reported sold
- $15M Offering amount: $20M
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Apr 16, 2015 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 17, 2015 | Initial | $15,000,000 | No comparison | 2 | SEC filing |
| Jan 11, 2010 | Amendment | $1,425,000 | No comparison | 0 | SEC filing |
| Dec 9, 2009 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Aug 27, 2009 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| May 11, 2009 | Initial | Yet to sell | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Debt, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1.03M
- Finders' fees
- $0
- Form D file number
- 021-238220
So long as certain conditions are satisfied by the Company or waived by the investors, the investors will invest an additional $5 million.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| COWEN AND COMPANY | 7616 |
Source: Form D, filed Apr 17, 2015. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Bruce I. Berkoff | Director |
| B Todd Cox | Executive |
| Jeff A. Hawthorne | Director, Executive |
| Anthony J. Le Vecchio | Director |
| Bernard T. Marren | Director |
| Dan Van Ostrand | Executive |
| William Wayne Patterson | Director |
| Robert J. Petcavich | Executive |
| Killion J. Reed | Director, Executive |
| Robert A. Rusenko | Executive |
| James A Tassone | Executive |
| Malcolm J. Thompson | Director |
| Jeffrey W. Tomz | Executive |
| Carl J. Yankowski | Director |
| Ross A, Young | Director |
Issuer details
Industry: Other Technology (See others in industry)
Address:
8708 Technology Forest Place Suite 100
The Woodlands, TX, 77381
The Woodlands, TX, 77381