SEC Form 4 · accession 0001144204-17-005512
Vuzix Corp · VUZI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul J Travers
Officer — President and CEO · Director · 10% Owner
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 10:29 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001463972
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 31, 2017 | P | 350 | $6.23 | A | 2,553,562 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11,683,562 share are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.