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
  1. 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.
  2. 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.
  3. 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.
  4. 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.