Filing Details

Accession Number:
0000948520-17-000011
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-12-19 15:46:00
Reporting Period:
2017-12-15
Accepted Time:
2017-12-19 15:46:00
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 2017-12-15 100,000 $0.44 7,785,000 No 4 S Indirect See footnotes
Common Stock Disposition 2017-12-15 60,000 $0.46 7,725,000 No 4 S Indirect See footnotes
Common Stock Disposition 2017-12-15 25,000 $0.46 7,700,000 No 4 S Indirect See footnotes
Common Stock Disposition 2017-12-15 32,500 $0.42 7,667,500 No 4 S Indirect See footnotes
Common Stock Disposition 2017-12-18 100,000 $0.40 7,567,500 No 4 S Indirect See footnotes
Common Stock Disposition 2017-12-18 40,000 $0.41 7,527,500 No 4 S Indirect See footnotes
Common Stock Disposition 2017-12-18 27,500 $0.42 7,500,000 No 4 S Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnotes
No 4 S Indirect See footnotes
No 4 S Indirect See footnotes
No 4 S Indirect See footnotes
No 4 S Indirect See footnotes
No 4 S Indirect See footnotes
No 4 S Indirect See footnotes
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Warrants $0.40 2017-04-20 2020-04-20 1,500,000 1,500,000 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-04-20 1,500,000 1,500,000 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 385,000 shares of VII common stock at a price of $0.40 on November 7, 2017. The reporting person plans to pay promptly to VII the full amount of the profit realized in connection with the short-swing transactions, less transaction costs.
  2. 385,000 shares sold were directly owned by the Article 6 Marital Trust, a ten percent owner of the issuer, and indirectly by Anita G. Zucker, as trusteeand beneficiary of the trust.
  3. 7,500,000 shares are owned directly by NIL Funding Corporation, a subsidiary of the Article 6 Marital Trust and indirectly by Anita G. Zucker as as trustee and beneficiary of the trust.
  4. 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.