SC 13G/A 1 eps4505.htm

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

Vu1 Corporation
 (Name of Issuer)
 
Common Stock
(Title of Class of Securities)
 
929212-10-8
(CUSIP Number)
 
December 31, 2011
(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

  ☐ Rule 13d-1(b)
     
  ☐ Rule 13d-1(c)
     
  ☒ Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 

 

 
 
 

 

CUSIP No .  929212-10-8   Page 2 of 5

 

 

1

 

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE  PERSONS (ENTITIES ONLY)

 

 Richard G. Sellers

 

2

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

 

(a) [ ]

(b) [ ]

 

3

 

SEC USE ONLY

 

  

 

4

 

CITIZENSHIP OR PLACE OF ORGANIZATION

 

 USA

NUMBER OF

 

SHARES

 5 SOLE VOTING POWER

402,159 (1)

 

BENEFICIALLY

 

OWNED BY

 6 SHARED VOTING POWER  

EACH

 

REPORTING

 7 SOLE DISPOSITIVE POWER

402,159 (1)

 

PERSON

 

WITH

 8 SHARED DISPOSITIVE POWER  

 

9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

402,159 (1)

 

 

10

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES

 

 [ ]

 

11

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

 7.22% (2)

 

12

 

TYPE OF REPORTING PERSON

 

 IN
         

(1) Consists of (a) 263,165 shares of Vu1 Corporation common stock and (b) 138,994 shares of Vu1 Corporation common stock that Mr. Sellers has the right to acquire pursuant to currently exercisable options and warrants.

(2) Based upon 5,567,872 shares of Vu1 Corporation common stock outstanding as reported on Vu1 Corporation’s S-1/A as filed with the SEC on November 11, 2011.

 

 
 

 

CUSIP No .  929212-10-8   Page 3 of 5

 

Item 1(a).   Name of Issuer:
     
    Vu1 Corporation
     
Item 1(b).   Address of Issuer’s Principal Executive Offices:
     
    469 7th Avenue, 3rd Floor
New York, NY 10018
     
     
Item 2(a).   Name of Person Filing:
     
    Richard G Sellers
     
Item 2(b).   Address of Principal Business Office or, if None, Residence:
     
    24 Roy St #421, Seattle, WA 98109
     
     
Item 2(c).   Citizenship:
     
    USA
     
Item 2(d).   Title of Class of Securities:
     
    Common Stock
     
Item 2(e).   CUSIP Number:
     
    929212-10-8
     
Item 3. If This Statement is Filed Pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a:

 

  (a) ☐ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).
       
  (b) ☐ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
       
  (c) ☐ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
       
  (d) ☐ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
       
  (e) ☐ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

 
 

 

CUSIP No .  929212-10-8   Page 4 of 5

 

  (f) ☐ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
       
  (g) ☐ A parent holding company or control person in accordance with §240.13d-1(b)(ii)(G);
       
  (h) ☐ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
       
  (i) ☐ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);
       
  (j) ☐ Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

Item 4. Ownership.
   
  Ownership information is provided as of:

 

  (a) Amount beneficially owned:
     
    402,159 (1)
     
  (b) Percent of class:
     
    7.22% (2)
     
  (c) Number of shares as to which such person has:
     
    (i) Sole power to vote or to direct the vote
       
      402,159 (1)
       
    (ii) Shared power to vote or to direct the vote
       
      0
       
    (iii) Sole power to dispose or to direct the disposition of
       
      402,159 (1)
       
    (iv) Shared power to dispose or to direct the disposition of
       
      0

 

 
 

 

CUSIP No .  929212-10-8   Page 5 of 5

 

Item 5. Ownership of Five Percent or Less of a Class.
   
  Not Applicable.
   
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
   
  Not Applicable.
   
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
   
  Not Applicable.
   
Item 8. Identification and Classification of Members of the Group.
   
  Not Applicable.
   
Item 9. Notice of Dissolution of Group.
   
  Not Applicable.
   
Item 10. Certification.

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

  Date: 1/23/12  
       
  Signature: /s/ Richard G. Sellers  
  Name: Richard G Sellers