SEC Form 4 · accession 0000948520-17-000008
VICON INDUSTRIES INC /NY/ · VII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anita G Zucker
10% Owner
Period of report
Nov 7, 2017
Accepted (ET)
Nov 9, 2017 · 3:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000310056
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 7, 2017 | P | 7,500,000 | $0.40 | A | 7,885,000 | I | See footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF3 | $0.40 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2020 | Common Stock | 1,500,000 | 1,500,000 | I |
Explanation of responses
- F1385,000 shares are owned directly by the Article 6 Marital Trust, a ten percent owner of the issuer, and indirectly by Anita G. Zucker, as trustee and beneficiary of the trust.
- F27,500,000 shares are owned directly by NIL Funding Corporation, a subsidiary of the Article 6 Marital Trust and indirectly by Anita G. Zucker, as trustee and beneficiary of the trust.
- F3The 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.