Uni-Pixel 

CA

  SEC # 1171012

        

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Relationships

        

1  Owner Relationship  (where the Issuers of the  Uni-Pixel-owned  securities are...)

        

First  20  of  84  Issuer Relationships  (where the Owners of the  Uni-Pixel  securities are...)

First		Latest Filing		Filing		Filer / Owner
		10/6/17		25-NSE		NY	Nasdaq Stock Market LLC [ formerly The Nasdaq Stock Market LLC ]
8/4/15		8/28/17		4		CA	Christine Russell
7/31/15		8/28/17		4		CA	Hawthorne Jeffrey Alan
6/16/11		8/28/17		4		TX	Levecchio Anthony J
7/31/15		8/28/17		4		CA	Thompson Malcolm
1/24/11		8/28/17		4		TX	Young Ross Adam
		8/18/17		SC 13G		KS	L2 Capital, LLC
6/10/16		8/3/17		4		CO	Doran James E
6/10/16		8/3/17		4		CA	Young Sam I
2/8/16		1/30/17		SC 13G		CT	Hudson Bay Capital Management LP
		6/10/16		3		CO	Doran James E
		6/10/16		3		CA	Young Sam I
7/31/15		8/4/15		3		CA	Christine Russell
1/24/11		7/31/15		4		CA	Berkoff Bruce I
1/24/11		7/31/15		4		CA	Marren Bernard T
3/9/12		7/31/15		4		TX	Patterson William Wayne
11/27/12		7/31/15		4		MA	Yankowski Carl
		5/21/15		4		MD	Rusenko Robert Anthony
2/13/14		2/13/15		SC 13G		PA	Susquehanna Capital Group
1/17/14		1/20/15		SC 13G		NY	Destrier Capital Management LLC
→Please Sign In to List all of them.

        

First  20  of  56  Insider & Control Relationships  (Directors & Officers, Owners, Parent / Subs., et al.)

First		Latest Filing		Relationship		Registrant
		12/30/19		Director	of	CA	Axt Inc.
8/4/15		8/28/17		Officer:  Chief Financial Officer		CA	Christine Russell
4/16/14		8/28/17		Director		CA	Hawthorne Jeffrey Alan
4/16/14		8/28/17		Officer:  CEO & President*			"
5/12/11		8/28/17		Director		TX	Levecchio Anthony J
8/20/14		8/28/17		Director		CA	Thompson Malcolm
1/24/11		8/28/17		Director		TX	Young Ross Adam
6/10/16		8/3/17		Director		CO	Doran James E
6/10/16		8/3/17		Director		CA	Young Sam I
1/24/11		7/31/15		Director		CA	Berkoff Bruce I
		7/31/15		Director		CA	Christine Russell
		7/31/15		Officer:  CEO & President			"
1/24/11		7/31/15		Director		CA	Marren Bernard T
5/12/11		7/31/15		Director		TX	Patterson William Wayne
11/27/12		7/31/15		Director		MA	Yankowski Carl
4/14/14		5/21/15		Officer:  Chief Operating Officer		MD	Rusenko Robert Anthony
		12/4/14		Other:  Former Senior Vice President		TX	Van Ostrand Daniel K
		9/18/14		Officer:  Sr VP R&D		CA	Kholodenko Arnold
3/31/14		4/30/14		Other:  Former Chief Operating Officer		CA	Shin Seong Sik
		12/31/13		Officer:  Former Chief Executive Officer		TX	Killion Reed J
→Please Sign In to List all of them.

        

No  Joint-Filer Relationships  (Co-Filer Registrants:  Partners, Affiliates, et al.)

        

No  Group-Member Relationships  (Co-Filer Non-Registrants:  Partners, Affiliates, et al.)

        

Filing Agent Relationships  (SEC Filing Agents, Attorneys, Printers, et al. — Affiliates:  Directors & Officers, et al.)

10  Filing Agents and/or Registrants have submitted Filings for  Uni-Pixel:

Latest Filing				Filing Agentª, Registrant or SEC — SEC #			Filings
		Type
3/21/24		REVOKED			No Filing Agent:  SEC-filed by SEC #7 — 9999999997		3
12/30/19		4/A		TX	Section16 Direct/FA — 1179110		2
11/20/17		8-K		FL	M2 Compliance LLC/FA — 1493152		58
3/30/16		10-K		CA	Federal Filings, LLC/FA — 1185185		182
7/13/15		EFFECT			No Filing Agent:  SEC-filed by SEC #5 — 9999999995		3
12/21/10		8-K		TX	Toppan Merrill/FA — 1104659		96
1/11/10		D/A			No Filing Agent:  Self-filed — 1171012		4
5/27/09		8-K		NY	Toppan Merrill/FA — 1144204		1
7/22/05		10SB12G/A		MN	Toppan Merrill-FA — 1047469		7
6/4/02		RW		TX	Securities Transfer Corp./FA — 1010549		2
Total:							358
__________  ª  Proprietary to SEC Info℠:  The SEC does not publish the names of SEC Filing Agents.