Document:

Exhibit

EXHIBIT 4.5

NOTICE OF GUARANTEED DELIVERY

This form, or one substantially equivalent to this form, must be used to exercise Subscription Rights pursuant to the Rights Offering described in the prospectus supplement dated [•], 2017 (the “Prospectus”) of VICON INDUSTRIES, INC., a New York corporation (the “Company”), if a holder of Subscription Rights cannot deliver the Subscription Rights Certificate(s) evidencing the Subscription Rights (the “Subscription Rights Certificate(s)”) to the Subscription Agent listed below (the “Subscription Agent”) at or prior to 5:00 p.m., New York City time, on [•] , 2017 (as it may be extended by the Company, the “Expiration Date”). This Notice of Guaranteed Delivery must be received by the Subscription Agent on or prior to the Expiration Date. Payment of the Subscription Price of $[•] per share for each share of Common Stock subscribed for upon exercise of such Subscription Right must be received by the Subscription Agent in the manner specified in the Prospectus at or prior to 5:00 p.m., New York City time, on the Expiration Date, even if the Subscription Rights Certificate evidencing such Subscription Rights is being delivered pursuant to the procedure for guaranteed delivery thereof. The Subscription Rights Certificate evidencing such Subscription Rights must be received by the Subscription Agent within three (3) NYSE American exchange trading days following the date of this Notice of Guaranteed Delivery.

The address of the Subscription Agent is as follows:

	
		
	By mail:
	By hand or overnight courier:

	Broadridge Corporate Issuer Solutions, Inc.
Attn: BCIS Re-Organization Dept.
P.O. Box 1317
Brentwood, New York 11717-0693
(855) 793-5068 (toll free)
	Broadridge Corporate Issuer Solutions, Inc.
Attn: BCIS IWS
51 Mercedes Way
Edgewood, New York 11717
(855) 793-5068

The Subscription Agent’s telephone number is (855) 793-5068.

DELIVERY OF THIS INSTRUMENT TO AN ADDRESS OTHER THAN AS SET FORTH ABOVE DOES NOT CONSTITUTE A VALID DELIVERY.

Any questions regarding the Company’s rights offering or requests for additional copies of documents may be directed to Broadridge Corporate Issuer Solutions, Inc. at (855) 793-5068 (toll free), Monday through Friday (except bank holidays), between 9 a.m. and 6 p.m., New York City time.

Ladies and Gentlemen:

The undersigned hereby represents that he or she is the holder of Subscription Rights Certificate(s) representing Subscription Rights issued by VICON INDUSTRIES, INC. and that such Subscription Rights Certificate(s) cannot be delivered to the Subscription Agent at or before 5:00 p.m., New York City time, on the Expiration Date. Upon the terms and subject to the conditions set forth in the Prospectus, receipt of which is hereby acknowledged, the undersigned hereby elects to exercise the following Subscription Rights, pursuant to the Basic Subscription Privilege and the Over-Subscription Privilege as described in the Prospectus:

	
			
	No. of Subscription Rights exercised pursuant to Basic Subscription Privilege:
	 
	 

	plus
	 
	 

	No. of additional shares subscribed for pursuant to exercise of Over-Subscription Privilege:
	 
	 

	 
	 
	 

	TOTAL SHARES SUBSCRIBED:
	 
	 

	x Subscription Price Per Share
	 
	x $[•]

	 
	 
	 

	TOTAL PAYMENT DUE:
	 
	$

The undersigned understands that payment of the Subscription Price of $[•] per share for each share of Common Stock subscribed pursuant to the Basic Subscription Privilege and the Over-Subscription Privilege must be received by the Subscription Agent at or before 5:00 p.m., New York City time, on the Expiration Date and represents that such payment, in the aggregate amount set forth above, either (check appropriate box):

 ̈    is being delivered to the Subscription Agent herewith; or

 ̈    has been delivered separately to the Subscription Agent, and is or was delivered in the manner set forth below (check appropriate box and complete information relating thereto):

		
	 ̈
	uncertified personal check

		
	 ̈
	certified bank check

		
	 ̈
	bank draft (cashier’s check)

		
	 ̈
	postal, telegraphic, or express money order

		
	 ̈
	wire transfer of immediately available funds

If by certified bank check, bank draft, or express money order, please provide the following information:

Name of maker: __________________________________________________________
Date of check, draft or money order: __________________________________________
Bank on which check is drawn or issuer of money order: __________________________

Signature(s):    ____________________________________    

Name(s):    ____________________________________        
Address:        ____________________________________    
                
                
Telephone:    ____________________________________            
(please print or type)

Subscription Rights
Certificate No.(s):____________________________________        

GUARANTEE OF DELIVERY
(Not to Be Used for Subscription Rights Certificate Signature Guarantee)
 
The undersigned, a member firm of a registered national securities exchange or of the Financial Industry Regulatory Authority, or a commercial bank or trust company having an office or correspondent in the United States, or a bank, stockbroker, savings and loan association or credit union with membership in an approved signature guarantee medallion program, pursuant to Rule 17Ad-15 of the Securities Exchange Act of 1934, as amended, guarantees that the undersigned will deliver to the Subscription Agent the certificates representing the Subscription Rights being exercised hereby, with any required signature guarantee and any other required documents, all within three (3) business days after the date hereof.
  

	
		
	Dated:
	 

	 

	 

	(Address)

	 

	 

	(Name of Firm)

	 

	 

	(Area Code and Telephone Number)

	 

	 

	(Authorized Signature)

 
The institution that completes this form must communicate the guarantee to the Subscription Agent and must deliver the Subscription Rights Certificate(s) to the Subscription Agent within the time period shown in the Prospectus. Failure to do so could result in a financial loss to such institution.Exhibit

EXHIBIT 4.6

VICON INDUSTRIES, INC.
 
UP TO 9,348,388 SHARES OF COMMON STOCK
ISSUABLE UPON EXERCISE OF NON-TRANSFERABLE
RIGHTS TO SUBSCRIBE FOR SUCH SHARES
 
BENEFICIAL OWNER ELECTION FORM

I (We), the undersigned, acknowledge receipt of your letter and the enclosed materials relating to the offering of shares of common stock, par value $0.01 per share (the “Shares”) of VICON INDUSTRIES, INC. (the “Company”), issuable upon the exercise of subscription rights (“Subscription Rights”).

In this form, I (we) instruct you whether to exercise Subscription Rights to purchase Shares distributed with respect to the common stock, par value $0.01 per share, of the Company held by you for my (our) account, pursuant to the terms and subject to the conditions set forth in the Prospectus dated [•], 2017. 

I (we) hereby instruct you as follows:
 
(CHECK THE APPLICABLE BOXES AND PROVIDE ALL REQUIRED INFORMATION)

	
																					
	BOX 1.
	o
	Please do not exercise Subscription Rights for me (us).

	BOX 2.
	o
	Please exercise Subscription Rights for me (us) and purchase Shares as set forth below:

	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 
	 

	 
	 
	 
	NUMBER OF SHARES
OF COMMON STOCK
	 
	 
	 
	  
	 
	SUBSCRIPTION
PRICE
	 
	 
	 
	  
	 
	 
	 
	PAYMENT
	 

	Basic subscription Right
	 
	 
	 
	 
	 
	 
	X
	$
	[•]
	 
	 
	 
	=
	 
	 
	 
	$
	 

IF YOU HAVE FULLY EXERCISED YOUR BASIC SUBSCRIPTION RIGHT ABOVE and you wish to purchase additional Shares, subject to availability and the conditions and limitations described in the Prospectus, please so indicate by completing the additional required information:

	
																			
	 
	 
	 
	NUMBER OF SHARES
OF COMMON STOCK
	 
	 
	 
	  
	 
	SUBSCRIPTION
PRICE
	 
	 
	 
	  
	 
	 
	 
	PAYMENT
	 

	Over subscription Right
	 
	 
	 
	 
	 
	 
	X
	$
	[•]
	 
	 
	 
	=
	 
	 
	 
	$
	 

TOTAL SUBSCRIPTION PAYMENT REQUIRED:
	
													
	 
	 
	 
	$
	 
	+
	 
	$
	 
	=
	 
	$
	 

	  
	 
	 
	(Basic Subscription
Right Payment)
	 
	 
	 
	(Oversubscription
Right Payment)
	 
	 
	 
	(Total required
payment)
	 

	
					
	 
	 
	FORM OF PAYMENT:

	  
	 
	 
	o
	Payment in the following amount is enclosed: $__________.

	  
	o
	Please deduct payment of $__________ from my (our) following account maintained by you:

	
							
	 
	 
	  
	 
	_________________________________
(Type of Account)
	 
	_________________________________
(Account Number)

 

I (we) on my (our) own behalf, or on behalf of any person(s) on whose behalf, or under whose directions, I am (we are) signing this form:

	
			
	 
	Ÿ
	Acknowledge receipt of the Prospectus and irrevocably elect to purchase the number of Shares indicated above upon the terms and conditions specified in the Prospectus; and

	
			
	 
	Ÿ
	Agree that if I (we) fail to pay for the Shares that I (we) have elected to purchase, you may exercise any remedies available to you under the law.

	
					
	 
	 
	 
	 
	 

	Name of beneficial owner(s):
	 
	____________________________
	 
	 

	  
	 
	  

	Signature of beneficial owner(s):
	 
	 

	  
	 
	____________________________
	 
	  

	 
	 
	 
	 
	 

If you are signing in your capacity as a trustee, executor, administrator, guardian, attorney-in-fact, agent, officer of a corporation or in any other fiduciary or representative capacity, please provide the following information:
	
					
	 
	 
	 
	 
	 

	Name:
	 
	__________________________________
  
	 
	  

	Capacity:
	 
	__________________________________
  
	 
	  

	Address:
	 
	__________________________________
  
__________________________________
  
__________________________________  
	 
	  

	Telephone No.:
	 
	__________________________________Exhibit

EXHIBIT 4.7

VICON INDUSTRIES, INC.
 
UP TO 9,348,388 SHARES OF COMMON STOCK
ISSUABLE UPON EXERCISE OF NON-TRANSFERABLE RIGHTS
TO SUBSCRIBE FOR SUCH SHARES
 
NOMINEE HOLDER CERTIFICATION

The undersigned, a bank, custodian bank or other nominee holder (the “Nominee Holder”) of rights (the “Subscription Rights”) to purchase shares of common stock, par value $0.01 per share (the “Shares”) of VICON INDUSTRIES, INC. (the “Company”), pursuant to the rights offering described in the Company’s Prospectus, dated [•], 2017, hereby certifies to the Company and Broadridge Corporate Issuer Solutions, Inc., as subscription agent for the rights offering, that the undersigned has exercised, on behalf of the beneficial owners thereof (which may include the undersigned), the Subscription Rights to subscribe for the number of Shares specified below under the Basic Subscription Right, and on behalf of beneficial owners of Subscription Rights who have exercised their Basic Subscription Rights in full, requests to subscribe for the number of additional Shares specified below pursuant to the Over-subscription Right, the terms of which are described further in the Prospectus, listing separately each exercised Basic Subscription Right and any corresponding Over-subscription Right as to each beneficial owner (without identifying any such beneficial owner) for whom the Nominee Holder is acting hereby:
	
			
	 
NUMBER OF
SHARES OWNED
ON RECORD DATE
	NUMBER OF SHARES
SUBSCRIBED FOR
PURSUANT TO BASIC
SUBSCRIPTION RIGHT
	NUMBER OF SHARES
SUBSCRIBED FOR
PURSUANT TO
OVERSUBSCRIPTION RIGHT

	 
	 
	 

	_______________________________
	_______________________________
	_______________________________

	 
	 
	 

	_______________________________
	_______________________________
	_______________________________

	 
	 
	 

	_______________________________
	_______________________________
	_______________________________

	 
	 
	 

	_______________________________
	_______________________________
	_______________________________

	 
	 
	 

	_______________________________
	_______________________________
	_______________________________

	
		
	____________________________________________
Name of Broker, Custodian Bank or Other Nominee
	 

	
					
	By:
	 
	____________________________________
Authorized Signature
	 
	  

	
					
	 
	 
	 
	 
	 

	Name:
	 
	_____________________________________
(please type or print)
	 
	  

             

 Provide the following information if applicable:
	
			
	 
____________________________________________
Depository Trust Company (“DTC”) Participant Number
	 
	  

 
	
			
	 
____________________________________________
Participant
	 
	  

	
					
	By:
	 
	_______________________________________
	 
	  

	Name:
	 
	_______________________________________
	 
	 

	Title:
	 
	_______________________________________
	 
	 

                          DTC Subscription Confirmation Numbers

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