Filing Details
- Accession Number:
- 0000899243-21-003741
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-01-29 17:00:13
- Reporting Period:
- 2021-01-28
- Accepted Time:
- 2021-01-29 17:00:13
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1463972 | Vuzix Corp | VUZI | Semiconductors & Related Devices (3674) | DE |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 50863 | Intel Corp | 2200 Mission College Blvd Rnb-4-151 Santa Clara CA 95054 | 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, Par Value $0.001 | Acquisiton | 2021-01-28 | 4,962,600 | $0.00 | 4,962,600 | No | 4 | C | Direct | |
| Common Stock, Par Value $0.001 | Disposition | 2021-01-28 | 550,086 | $12.63 | 4,412,514 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.001 | Disposition | 2021-01-28 | 299,035 | $12.26 | 4,113,479 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.001 | Disposition | 2021-01-28 | 4,113,479 | $11.30 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2021-01-28 | 49,626 | $0.00 | 4,962,600 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct |
Footnotes
- On January 28, 2021, the Reporting Person delivered to the Issuer a notice of conversion with respect to 49,626 shares of Series A Convertible Preferred Stock held by the Reporting Person. Each share of Series A Convertible Preferred Stock was convertible into 100 shares Common Stock. As a result, the 49,626 shares of Series A Convertible Preferred Stock converted into 4,962,600 shares of Common Stock.
- This transaction was executed in multiple trades at prices ranging from $12.35 to $13.32. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $12.25 to $12.31. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- The Series A Convertible Preferred Stock was convertible at any time, at the option of the Reporting Person, and had no expiration date.
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