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Uni-Pixel – ‘8-K’ for 7/13/15

On:  Monday, 7/13/15, at 1:39pm ET   ·   For:  7/13/15   ·   Accession #:  1185185-15-1804   ·   File #:  1-34998

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 7/13/15  Uni-Pixel                         8-K:5       7/13/15    1:24K                                    Federal Filings, LLC/FA

Current Report   —   Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     15K 


This is an HTML Document rendered as filed.  [ Alternative Formats ]





UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
 

 
FORM 8-K
 

 
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934
 
July 13, 2015
Date of Report (Date of Earliest Event Reported)

UNI-PIXEL, INC.
(Exact Name of Small Business Issuer as Specified in Its Charter)

 
DELAWARE
 
75-2926437
(State or Other Jurisdiction of
Incorporation or Organization)
 
(I.R.S. Employer
Identification No.)
 
8708 Technology Forest Place, Suite 100
(Address of Principal Executive Offices)
 
(281) 825-4500
(Issuer’s Telephone Number, Including Area Code)
 
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
 
o  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 
 

 
 
ITEM 5.07.                       SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS.

On July 13, 2015, Uni-Pixel, Inc. (the “Company”) held a special meeting of its shareholders.  At the meeting, the shareholders voted to ratify the terms of the issuance and sale of the Company’s Senior Secured Convertible Notes (the “Notes”) together with Warrants (the “Warrants”) and to approve the issuance of all shares of the Company’s common stock issuable upon the conversion of the Notes and exercise of the Warrants, without need for any limitation or cap on issuance or restriction on adjustments to the conversion price or exchange price, as applicable, as required by and in accordance with NASDAQ Marketplace Rules 5635(a) and 5635(d).  The voting results for this proposal were as follows:

FOR
   
AGAINST
   
ABSTAIN
 
  5,276,301       1,228,097       453,779  

There were no broker non-votes.
 
 
 
 
 
 

 
 
SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
 
By:
 
    Christine Russell, Chief Financial Officer  
 
 
 
 
 
 
 

Dates Referenced Herein

This ‘8-K’ Filing    Date    Other Filings
Filed on / For Period End:7/13/15None on these Dates
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Filing Submission 0001185185-15-001804   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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