SEC Form 3 · accession 0001493152-18-004580
VICON INDUSTRIES INC /NY/ · VII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
CEMTREX INC
10% Owner · Other
Period of report
Mar 23, 2018
Accepted (ET)
Apr 2, 2018 · 6:09 pm EDT
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 | holding | — | — | — | 7,284,824 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WARRANTF1,F2 | $0.40 | holding | — | — | — | Apr 20, 2017 | Apr 20, 2020 | COMMON STOCK | 1,500,000 | — | D |
Explanation of responses
- F1The Reporting Person is a member of a Section13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock as disclosed in a Schedule 13D, filed on behalf of the Reporting Person and certain other stockholders of the Issuer on April 2, 2018, as amended. The securities reported herein do not include any securities held by any group member other than the Reporting Person, as such shares are being reported in a separate Form 3 filing.
- F2The Reporting Person disclaims beneficial ownership of the shares of Common Stock except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.