Filing Details
- Accession Number:
- 0001420506-12-000005
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-01-24 12:55:48
- Reporting Period:
- 2011-10-14
- Filing Date:
- 2012-01-24
- Accepted Time:
- 2012-01-24 12:55:48
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
906448 | Vu1 Corp | VUOCD | Communications Equipment, Nec (3669) | 840672714 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1379205 | Richard Sellers | 24 Roy Street (#421) Seattle WA 98109 | No | No | No | Yes |
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 | 2011-10-14 | 18,000 | $0.38 | 11,723,869 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-10-17 | 72,000 | $0.38 | 11,651,869 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-10-31 | 3,500 | $0.38 | 11,648,369 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-11-10 | 19,070 | $0.39 | 11,629,299 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-11-14 | 15,000 | $0.39 | 11,614,299 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-12-08 | 1,050 | $5.25 | 579,665 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-12-09 | 1,220 | $5.20 | 578,445 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-12-16 | 1,736 | $4.87 | 576,709 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-12-21 | 6,550 | $4.38 | 570,159 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-12-22 | 2,500 | $4.21 | 567,659 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-12-23 | 500 | $4.20 | 567,159 | No | 4 | S | Direct | |
Common Stock | Disposition | 2012-01-23 | 165,000 | $0.00 | 402,159 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Footnotes
- Consists of (a) 8,834,420 shares of Vu1 Corporation common stock and (b) 2,779,879 shares of Vu1 Corporation common stock that Mr. Sellers has the right to acquire pursuant to currently exercisable options and warrants.
- Mr. Sellers total beneficial ownership was adjusted per the 20:1 reverse split that went into effect on November 20, 2011, as discolsed in the company 8-k filing on November 16, 2011.
- Mr. Sellers has been informed by federal authorities that the company he received loans from sold all 165,000 shares given as collateral into the open market. This action by the loan company was in violation of the loan agreements and they did not have any other right to sell his shares. Because of this action by the loan company, Mr. Sellers no longer has beneficial ownership of these shares. The loan company is currently under criminal investigation by the federal authorities for this action.
- Consists of (a) 263,165 shares of Vu1 Corporation common stock and (b) 138,994 shares of Vu1 Corporation common stock that Mr. Sellers has the right to acquire pursuant to currently exercisable options and warrants.