Vuzix Corp 4

4 · Vuzix Corp · Filed Sep 12, 2013

Form 4

Period: 2012-06-15

10% Owner

Transactions

Other
Convertible Promissory Note
2013-08-05−82,549→ 0 total(indirect: See Footnotes)
Exercise: $7.50From: 2010-12-23Exp: 2014-12-23→ Common Stock, $ par value (0 underlying)
Other
Convertible Promissory Note
2012-06-15−452,658→ 82,549 total(indirect: See Footnotes)
Exercise: $7.48From: 2010-12-23Exp: 2014-12-23→ Common Stock, $ par value (452,658 underlying)

Footnotes (4)

[F1]These securities are directly held by LC Capital Master Fund, Ltd. Lampe, Conway & Co., LLC., Richard F. Conway and Steven G. Lampe may be deemed to, indirectly, beneficially own the securities directly held by LC Capital Master Fund, Ltd.
[F2]These securities are held in the account of LC Capital Master Fund, Ltd. (the "Fund") for which Lampe, Conway & Co., LLC ("LCC") serves as an investment manager. Richard F. Conway and Steven G. Lampe are managing members of LCC. LCC, Mr. Conway and Mr. Lampe may be deemed to beneficially own the securities held by the Fund virtue of LCC's position as investment manager of the Fund and Mr. Conway's and Lampe's status as managing members of LCC. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or for any other purpose. The Reporting Persons affirmatively disclaim being a "group" for purposes of Section 16.
[F3]All common share figures reflect a 1 for 75 reverse stock split completed by the issuer on February 6, 2013.
[F4]The Convertible Promissory Notes were cancelled in accordance with their terms upon payment of the outstanding principal amounts by the Issuer.

Documents

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