Statement of Changes in Beneficial Ownership (4)
March 14 2018 - 3:25PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Zucker Anita G
|
2. Issuer Name
and
Ticker or Trading Symbol
VICON INDUSTRIES INC /NY/
[
VII
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
4838 JENKINS AVE
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/12/2018
|
(Street)
N CHARLESTON, SC 29405
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
3/12/2018
|
|
S
(1)
|
|
1400
|
D
|
$0.39
|
7333237
|
I
|
See footnote
(2)
|
Common Stock
|
3/12/2018
|
|
S
(1)
|
|
400
|
D
|
$0.3907
|
7332837
|
I
|
See footnote
(2)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Warrants
|
$0.4
|
4/20/2017
|
|
J
(3)
|
|
1500000
|
|
4/20/2017
|
4/20/2020
|
Common Stock
|
1500000
|
$438000
(3)
|
1500000
|
I
|
By trust's subsidiary
(4)
|
Explanation of Responses:
|
(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, 2018. 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 by Anita G. Zucker as trustee and beneficiary of the trust.
|
(3)
|
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.
|
(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.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Zucker Anita G
4838 JENKINS AVE
N CHARLESTON, SC 29405
|
|
X
|
|
|
Signatures
|
s/ Anita G. Zucker
|
|
3/14/2018
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Vicon Industrial (CE) (USOTC:VCON)
Historical Stock Chart
From Aug 2024 to Sep 2024
Vicon Industrial (CE) (USOTC:VCON)
Historical Stock Chart
From Sep 2023 to Sep 2024