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