VUZI

SEC source: 0001104659-23-080791 · tm2321260-2_4.xml · nonDerivative · entry 1

Kay Edward William Jr. · CIK 0001562330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,843

F1 · kind: Represents a stock award to the reporting person. The shares will vest at the one-year anniversary of the grant date.

SEC source: 0001104659-23-081112 · tm2321260-5_4.xml · nonDerivative · entry 1

Arvani Azita · CIK 0001559475 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,828

F1 · kind: Represents a stock award to the reporting person. The shares will vest at the one-year anniversary of the grant date.

SEC source: 0001104659-23-081075 · tm2321260-1_4.xml · nonDerivative · entry 1

Rajgopal Raj · CIK 0001449544 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,093

F1 · kind: Represents a stock award to the reporting person. The shares will vest at the one-year anniversary of the grant date.

SEC source: 0001104659-23-081609 · tm2321260-4_4.xml · nonDerivative · entry 1

Green Emily Nagle · CIK 0001553453 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,828

F1 · kind: Represents a stock award to the reporting person. The shares will vest at the one-year anniversary of the grant date.

SEC source: 0001104659-23-061731 · tm2316091-1_4seq1.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 146,711

F1 · price: This sales price reflects a weighted average of multiple prices ranging from $3.795 to $3.8326. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001104659-23-033114 · tm239661-1_4seq1.xml · nonDerivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,830,170

F1 · ownership.direct: 1,960,170 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-23-032164 · tm239551-1_4seq1.xml · nonDerivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,827,613

F1 · ownership.direct: 1,957,613 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-23-031630 · tm239179-1_4seq1.xml · nonDerivative · entry 1

Jameson Peter Hamilton · CIK 0001905276 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,600

SEC source: 0001104659-22-127670 · tm2232906-1_4.xml · nonDerivative · entry 1

Rajgopal Raj · CIK 0001449544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,788

SEC source: 0001104659-22-126866 · tm2232704-1_4.xml · nonDerivative · entry 1

Kay Edward William Jr. · CIK 0001562330 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,538

SEC source: 0001104659-22-123606 · tm2231790-1_4seq1.xml · nonDerivative · entry 2

Russell Grant · CIK 0001475058 · Director · CFO and Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,162,205

F1 · ownership.direct: Includes 7,000 shares held by Mr. Russell's wife and the remainder held directly by Mr. Russell.

SEC source: 0001104659-22-123606 · tm2231790-1_4seq1.xml · nonDerivative · entry 1

Russell Grant · CIK 0001475058 · Director · CFO and Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,159,705

F1 · ownership.direct: Includes 7,000 shares held by Mr. Russell's wife and the remainder held directly by Mr. Russell.

SEC source: 0001104659-22-123095 · tm2231660d1_4seq1.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,211

F1 · price: This sales price reflects a weighted average of multiple prices ranging from $3.953 to $4.0701. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001104659-22-121065 · tm2231172-1_4seq1.xml · nonDerivative · entry 2

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,825,013

F2 · ownership.direct: 1,955,013 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-22-121065 · tm2231172-1_4seq1.xml · nonDerivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,822,613

F1 · ownership.direct: Following this purchase 1,952,613 shares were held directly by Mr. Travers and 870,000 shares were held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-22-072528 · tm2218856d1_4.xml · nonDerivative · entry 1

Arvani Azita · CIK 0001559475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,523

F1 · kind: Represents stock award. The shares will vest one year from the grant date.

SEC source: 0001104659-22-072434 · tm2218828-2_4seq1.xml · nonDerivative · entry 1

Rajgopal Raj · CIK 0001449544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,223

F1 · kind: Represents stock award. The shares will vest one year from the grant date.

SEC source: 0001104659-22-072431 · tm2218828-1_4seq1.xml · nonDerivative · entry 1

Green Emily Nagle · CIK 0001553453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,523

F1 · kind: Represents stock award. The shares will vest one year from the grant date.

SEC source: 0001104659-22-072328 · tm2218816-3_4seq1.xml · nonDerivative · entry 1

Jameson Peter Hamilton · CIK 0001905276 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F1 · kind: Represents stock award. The shares will vest as follows: 50,000 shares on each of the following dates: January 4, 2023, January 4, 2024, January 4, 2025 and January 4, 2026.

SEC source: 0001104659-22-072327 · tm2218816-2_4seq1.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,211

F1 · kind: Represents stock award. The shares will vest one year from the grant date.

SEC source: 0001104659-22-072326 · tm2218816-1_4seq1.xml · nonDerivative · entry 1

Kay Edward William Jr. · CIK 0001562330 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,038

F1 · kind: Represents stock award. The shares will vest one year from the grant date

SEC source: 0001104659-22-032283 · tm228882-1_4seq1.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,481

SEC source: 0001104659-22-031933 · tm228786-1_4seq1.xml · nonDerivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,820,613

F1 · ownership.direct: 1,950,613 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-22-031380 · tm228692d1_4.xml · nonDerivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,819,363

F1 · ownership.direct: 1,949,363 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-21-146630 · tm2134669-1_4.xml · nonDerivative · entry 2

Rajgopal Raj · CIK 0001449544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,493

SEC source: 0001104659-21-146630 · tm2134669-1_4.xml · nonDerivative · entry 1

Rajgopal Raj · CIK 0001449544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,993

SEC source: 0001104659-21-145863 · tm2134463-1_4seq1.xml · nonDerivative · entry 1

Rajgopal Raj · CIK 0001449544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,993

SEC source: 0001104659-21-084235 · tm2120415d6_4.xml · nonDerivative · entry 1

Green Emily Nagle · CIK 0001553453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,793

F1 · kind: Represents stock award. The shares will vest monthly in equal amounts over 12 months.

SEC source: 0001104659-21-084232 · tm2120415d4_4.xml · nonDerivative · entry 1

Arvani Azita · CIK 0001559475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,793

F1 · kind: Represents stock award. The shares will vest monthly in equal amounts over 12 months.

SEC source: 0001104659-21-084150 · tm2120415d2_4.xml · nonDerivative · entry 1

Rajgopal Raj · CIK 0001449544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,793

F1 · kind: Represents stock award. The shares will vest monthly in equal amounts over 12 months.

SEC source: 0001104659-21-083971 · tm2120364d1_4seq1.xml · nonDerivative · entry 1

Kay Edward William Jr. · CIK 0001562330 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,308

F1 · kind: Represents stock award. The shares will vest monthly in equal amounts over 12 months.

SEC source: 0001104659-21-083969 · tm2120364d2_4seq1.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,981

F1 · kind: Represents stock award. The shares will vest monthly in equal amounts over 12 months.

SEC source: 0001104659-21-039241 · tm2110238d2_4.xml · derivative · entry 1

Russell Grant · CIK 0001475058 · Director · CFO and Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,750,000

Underlying: Common Stock · 1,750,000 shares

Expires 2031-03-17

F1 · derivative.exercise_date: 125,000 options vest immediately, and the remainder will vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time.

SEC source: 0001104659-21-039242 · tm2110238d3_4.xml · derivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,260,000

Underlying: Common Stock · 3,260,000 shares

Expires 2031-03-17

F1 · derivative.exercise_date: 250,000 options vest immediately, and the remainder will vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time.

SEC source: 0000899243-21-003741 · doc4.xml · derivative · entry 5

INTEL CORP · CIK 0000050863 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,962,600 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 28, 2021, the Reporting Person delivered to the Issuer a notice of conversion with respect to 49,626 shares of Series A Convertible Preferred Stock held by the Reporting Person. Each share of Series A Convertible Preferred Stock was convertible into 100 shares Common Stock. As a result, the 49,626 shares of Series A Convertible Preferred Stock converted into 4,962,600 shares of Common Stock.

F1 · kind: On January 28, 2021, the Reporting Person delivered to the Issuer a notice of conversion with respect to 49,626 shares of Series A Convertible Preferred Stock held by the Reporting Person. Each share of Series A Convertible Preferred Stock was convertible into 100 shares Common Stock. As a result, the 49,626 shares of Series A Convertible Preferred Stock converted into 4,962,600 shares of Common Stock.

F1 · price: On January 28, 2021, the Reporting Person delivered to the Issuer a notice of conversion with respect to 49,626 shares of Series A Convertible Preferred Stock held by the Reporting Person. Each share of Series A Convertible Preferred Stock was convertible into 100 shares Common Stock. As a result, the 49,626 shares of Series A Convertible Preferred Stock converted into 4,962,600 shares of Common Stock.

F4 · derivative.exercise_date: The Series A Convertible Preferred Stock was convertible at any time, at the option of the Reporting Person, and had no expiration date.

F4 · derivative.expiration_date: The Series A Convertible Preferred Stock was convertible at any time, at the option of the Reporting Person, and had no expiration date.

SEC source: 0000899243-21-003741 · doc4.xml · nonDerivative · entry 4

INTEL CORP · CIK 0000050863 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0000899243-21-003741 · doc4.xml · nonDerivative · entry 3

INTEL CORP · CIK 0000050863 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,113,479

F3 · price: This transaction was executed in multiple trades at prices ranging from $12.25 to $12.31. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000899243-21-003741 · doc4.xml · nonDerivative · entry 2

INTEL CORP · CIK 0000050863 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,412,514

F2 · price: This transaction was executed in multiple trades at prices ranging from $12.35 to $13.32. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000899243-21-003741 · doc4.xml · nonDerivative · entry 1

INTEL CORP · CIK 0000050863 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,962,600

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On January 28, 2021, the Reporting Person delivered to the Issuer a notice of conversion with respect to 49,626 shares of Series A Convertible Preferred Stock held by the Reporting Person. Each share of Series A Convertible Preferred Stock was convertible into 100 shares Common Stock. As a result, the 49,626 shares of Series A Convertible Preferred Stock converted into 4,962,600 shares of Common Stock.

F1 · price: On January 28, 2021, the Reporting Person delivered to the Issuer a notice of conversion with respect to 49,626 shares of Series A Convertible Preferred Stock held by the Reporting Person. Each share of Series A Convertible Preferred Stock was convertible into 100 shares Common Stock. As a result, the 49,626 shares of Series A Convertible Preferred Stock converted into 4,962,600 shares of Common Stock.

SEC source: 0001104659-20-109953 · tm2032063d1_form4.xml · nonDerivative · entry 1

Russell Grant · CIK 0001475058 · Director · CFO and Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,157,205

F1 · kind: Issuance of stock award.

F1 · price: Issuance of stock award.

F2 · ownership.direct: Includes 7,000 shares held by Mr. Russell's wife and the remainder held directly by Mr. Russell.

SEC source: 0001104659-20-109963 · tm2032063d4_form4.xml · nonDerivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,817,863

F1 · kind: Issuance of stock award.

F1 · price: Issuance of stock award.

F2 · ownership.direct: 1,947,863 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-20-109960 · tm2032063d3_form4.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,147

F1 · kind: Issuance of stock award.

SEC source: 0001104659-20-109956 · tm2032063d2_form4.xml · nonDerivative · entry 1

Kay Edward William Jr. · CIK 0001562330 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,474

F1 · kind: Issuance of stock award.

SEC source: 0001104659-20-110572 · tm2032195d1_4.xml · nonDerivative · entry 1

RUCKDAESCHEL ALEXANDER · CIK 0001422022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,147

F1 · kind: Issuance of stock award.

SEC source: 0001104659-20-080704 · tm2024093-1_4.xml · nonDerivative · entry 1

Kay Edward William Jr. · CIK 0001562330 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,974

F1 · kind: Issuance of stock award. Full ownership vests in equal monthly installments over 12 months.

SEC source: 0001104659-20-080462 · tm2024063d2_4.xml · nonDerivative · entry 1

RUCKDAESCHEL ALEXANDER · CIK 0001422022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,647

F1 · kind: Issuance of stock award. Full ownership vests in equal monthly installments over 12 months.

SEC source: 0001104659-20-080350 · tm2024063-1_4.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,647

F1 · kind: Issuance of stock award. Full ownership vests in equal monthly installments over 12 months.

SEC source: 0001104659-20-064096 · tm2020310-1_4.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,647

SEC source: 0001104659-20-059680 · tm2019339d2_4.xml · derivative · entry 1

Russell Grant · CIK 0001475058 · Director · CFO and Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-05-06

F1 · derivative.exercise_date: The options vest in four equal installments over four years.

SEC source: 0001104659-20-059675 · tm2019339d1_4.xml · derivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-05-06

F1 · derivative.exercise_date: Options vest in four equal installments over four years.