Filing Details
- Accession Number:
- 0000948520-18-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-12 15:18:38
- Reporting Period:
- 2018-03-08
- Accepted Time:
- 2018-03-12 15:18:38
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
310056 | Vicon Industries Inc | VII | Communications Equipment, Nec (3669) | 112160665 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1434993 | G Anita Zucker | 4838 Jenkins Ave N Charleston SC 29405 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2018-03-08 | 5,546 | $0.40 | 7,445,800 | No | 4 | S | Indirect | See footnote |
Common Stock | Disposition | 2018-03-08 | 5,000 | $0.40 | 7,440,800 | No | 4 | S | Indirect | See footnote |
Common Stock | Disposition | 2018-03-08 | 8,573 | $0.39 | 7,432,227 | No | 4 | S | Indirect | See footnote |
Common Stock | Disposition | 2018-03-08 | 3,500 | $0.40 | 7,428,727 | No | 4 | S | Indirect | See footnote |
Common Stock | Disposition | 2018-03-09 | 8,200 | $0.40 | 7,420,527 | No | 4 | S | Indirect | See footnote |
Common Stock | Disposition | 2018-03-09 | 41,600 | $0.39 | 7,378,927 | No | 4 | S | Indirect | See footnote |
Common Stock | Disposition | 2018-03-09 | 34,490 | $0.39 | 7,344,437 | No | 4 | S | Indirect | See footnote |
Common Stock | Disposition | 2018-03-09 | 9,800 | $0.40 | 7,334,637 | No | 4 | S | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See footnote |
No | 4 | S | Indirect | See footnote |
No | 4 | S | Indirect | See footnote |
No | 4 | S | Indirect | See footnote |
No | 4 | S | Indirect | See footnote |
No | 4 | S | Indirect | See footnote |
No | 4 | S | Indirect | See footnote |
No | 4 | S | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants | Acquisiton | 2017-04-20 | 1,500,000 | $438,000.00 | 1,500,000 | $0.40 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,500,000 | 2017-04-20 | 2020-04-20 | No | 4 | J | Indirect |
Footnotes
- The reporting person's sale of VII common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act with the reporting person's purchase of the same number of shares of VII common stock at a price of $0.40 per share on November 7, 2017. The reporting person plans to pay promptly to VII the full amount of profit realized in connection with the short-swing transactions, less transaction costs.
- The shares are or were owned directly by NIL Funding Corporation, a subsidiary of the Article 6 Marital Trust, and indirectly by Anita G. Zucker as trustee and beneficiary of the trust.
- The warrants are owned directly by NIL Funding Corporation, a subsidiary of the Article 6 Marital Trust, and indirectly by Anita G. Zucker as trustee and beneficiary of the trust.
- The warrants were issued as additional consideration for NIL Funding Corporation's extending credit to VII. VII reported that the fair value of the warrants at issuance was $438,000.