Sec Form 4 Filing - Zucker Anita G @ VICON INDUSTRIES INC /NY/ - 2017-12-15

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Zucker Anita G
2. Issuer Name and Ticker or Trading Symbol
VICON INDUSTRIES INC /NY/ [ VII]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
4838 JENKINS AVE
3. Date of Earliest Transaction (MM/DD/YY)
12/15/2017
(Street)
N CHARLESTON, SC29405
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/15/2017 S( 1 ) 100,000 D $ 0.4363 7,785,000 I See footnotes ( 2 ) ( 3 )
Common Stock 12/15/2017 S( 1 ) 60,000 D $ 0.457 7,725,000 I See footnotes ( 2 ) ( 3 )
Common Stock 12/15/2017 S( 1 ) 25,000 D $ 0.46 7,700,000 I See footnotes ( 2 ) ( 3 )
Common Stock 12/15/2017 S( 1 ) 32,500 D $ 0.4179 7,667,500 I See footnotes ( 2 ) ( 3 )
Common Stock 12/18/2017 S( 1 ) 100,000 D $ 0.4006 7,567,500 I See footnotes ( 2 ) ( 3 )
Common Stock 12/18/2017 S( 1 ) 40,000 D $ 0.41 7,527,500 I See footnotes ( 2 ) ( 3 )
Common Stock 12/18/2017 S( 1 ) 27,500 D $ 0.4156 7,500,000 I See footnotes ( 2 ) ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants $ 0.4 04/20/2017 04/20/2020 Common Stock 1,500,000 1,500,000 I By trust's subsidiary ( 4 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Zucker Anita G
4838 JENKINS AVE
N CHARLESTON, SC29405
X
Signatures
s/ Anita G. Zucker 12/19/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The reporting person's sale of VII common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act with the reporting person's purchase of 385,000 shares of VII common stock at a price of $0.40 on November 7, 2017. The reporting person plans to pay promptly to VII the full amount of the profit realized in connection with the short-swing transactions, less transaction costs.
( 2 )385,000 shares sold were directly owned by the Article 6 Marital Trust, a ten percent owner of the issuer, and indirectly by Anita G. Zucker, as trusteeand beneficiary of the trust.
( 3 )7,500,000 shares are owned directly by NIL Funding Corporation, a subsidiary of the Article 6 Marital Trust and indirectly by Anita G. Zucker as as trustee and beneficiary of the trust.
( 4 )The 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.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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