0001617997-14-000002.txt : 20140903 0001617997-14-000002.hdr.sgml : 20140903 20140903203218 ACCESSION NUMBER: 0001617997-14-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140829 FILED AS OF DATE: 20140903 DATE AS OF CHANGE: 20140903 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VICON INDUSTRIES INC /NY/ CENTRAL INDEX KEY: 0000310056 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 112160665 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 131 HEARTLAND BLVD. CITY: EDGEWOOD STATE: NY ZIP: 11717 BUSINESS PHONE: 6319522288 MAIL ADDRESS: STREET 1: 131 HEARTLAND BLVD. CITY: EDGEWOOD STATE: NY ZIP: 11717 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chestnutt Charles CENTRAL INDEX KEY: 0001617997 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07939 FILM NUMBER: 141081671 MAIL ADDRESS: STREET 1: VICON INDUSTRIES, INC. STREET 2: 131 HEARTLAND BOULEVARD CITY: EDGEWOOD STATE: NY ZIP: 11717 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2014-08-29 0 0000310056 VICON INDUSTRIES INC /NY/ VII 0001617997 Chestnutt Charles VICON INDUSTRIES, INC. 131 HEARTLAND BOULEVARD EDGEWOOD NY 11717 1 1 0 0 Executive Vice President & COO Common Stock 2014-08-29 4 A 0 85425 A 85425 D Stock Option (Right to Buy) 0.44 2014-08-29 4 A 0 6313 A 2014-08-29 2014-11-08 Common Stock 6313 6313 D Stock Option (Right to Buy) 0.44 2014-08-29 4 A 0 11782 A 2014-08-29 2015-10-11 Common Stock 11782 18095 D Stock Option (Right to Buy) 2.26 2014-08-29 4 A 0 11362 A 2014-08-29 2016-11-14 Common Stock 11362 29457 D Stock Option (Right to Buy) 5.27 2014-08-29 4 A 0 7574 A 2014-08-29 2017-12-07 Common Stock 7574 37031 D Stock Option (Right to Buy) 8.4 2014-08-29 4 A 0 7574 A 2014-08-29 2018-12-04 Common Stock 7574 44605 D Stock Option (Right to Buy) 1.78 2014-08-29 4 A 0 37873 A 2022-12-18 Common Stock 37873 82478 D Stock Appreciation Right 2.93 2014-08-29 4 A 0 75747 A 2016-01-31 Common Stock 75747 158225 D Stock Appreciation Right 3.56 2014-08-29 4 A 0 37873 A 2017-01-31 Common Stock 37873 196098 D Received in exchange for 338,332 shares of common stock of IQinVision, Inc. ("IQinVision"), in connection with the stock-for-stock merger of IQinVision with VI Merger Sub, Inc., a wholly owned subsidiary of the Issuer, pursuant to which VI Merger Sub, Inc. was merged with and into IQinVision, with IQinVision surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). On the effective date of the Merger, the closing price of the Issuer's common stock was $3.68 per share. In connection with the Merger, all outstanding IQinVision stock options, whether vested or unvested, were assumed by Vicon. Represents stock options to purchase an aggregate of 326,668 shares of IQinVision common stock, which were assumed by Vicon as of the effective date of the Merger and replaced with options to purchase an aggregate of 82,478 shares of Vicon common stock. This option is currently exercisable as to 22,092 shares of common stock, and will vest as to the remaining 15,781 shares of common stock in five equal quarterly installments beginning on October 1, 2014. These stock appreciation rights are currently exercisable with respect to 37,873 shares of common stock, and will vest as to the remaining 37,874 shares of common stock in equal installments on each of January 1, 2015 and January 1, 2016. In connection with the Merger, all outstanding IQinVision stock appreciation rights, whether vested or unvested, were assumed by Vicon. Represents stock appreciation rights with respect to an aggregate of 450,000 shares of IQinVision common stock, which were assumed by Vicon as of the effective date of the Merger and replaced with stock appreciation rights with respect to an aggregate of 113,620 shares of Vicon common stock. These stock appreciation rights are currently exercisable with respect to 9,468 shares of common stock, and will vest as to the remaining 28,405 shares of common stock in three equal installments on each of January 1, 2015, January 1, 2016 and January 1, 2017. /s/ Charles Chestnutt 2014-09-03