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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
warrant ? right to buy | $ 0.2849 | 12/24/2009 | P | 50,000 | 12/24/2009 | 12/23/2012 | common stock | 50,000 | (1) | 50,000 | D | ||||
warrant ? right to buy | $ 0.2849 | 12/24/2009 | P | 12,500 | 12/24/2009 | 12/23/2012 | common stock | 12,500 | (1) | 12,500 | I | By spouse | |||
warrant ? right to buy | $ 0.2849 | 12/24/2009 | P | 12,500 | 12/24/2009 | 12/23/2012 | common stock | 12,500 | (1) | 12,500 | I | By son |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lee William C/O VUZIX CORPORATION 75 TOWN CENTRE DRIVE ROCHESTER, NY 14623 |
X |
/s/ Grant Russell, as attorney-in-fact for William Lee | 01/29/2010 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The shares of common stock reported in Table I and the warrants reported in Table II were acquired as units consisting of one share of common stock and one-half of one warrant at the purchase price of $0.18996 per unit. |