SEC Form 4 · accession 0001144204-17-050473
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
Sep 28, 2017
Accepted (ET)
Sep 28, 2017 · 7:33 pm EDT
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 | Sep 28, 2017 | P | 2,300 | $5.45 | A | 2,555,862 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11,685,862 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.