Statement of Changes in Beneficial Ownership (4)
September 17 2020 - 10:48AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Tuozzolo Claudio |
2. Issuer Name and Ticker or Trading Symbol
VICOR CORP
[
vicr
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Corp. Vice President |
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(Last)
(First)
(Middle)
25 FRONTAGE ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/15/2020 |
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(Street)
ANDOVER, MA 01810
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 9/15/2020 | | M | | 4000 | A | $8.062 | 56912 | D | |
| Common Stock (1) | 9/15/2020 | | S | | 2030 | D | $82.7623 | 54882 | D | |
| Common Stock | 9/15/2020 | | M | | 5000 | A | $8.05 | 59882 | D | |
| Common Stock | 9/15/2020 | | S | | 5000 | D | $82.7623 | 54882 | D | |
| Common Stock | 9/15/2020 | | S | | 1124 | D | $82.7623 | 53758 | D | |
| Common Stock | 9/16/2020 | | M | | 1212 | A | $8.05 | 54970 | D | |
| Common Stock | 9/16/2020 | | S | | 1212 | D | $83.4399 | 53758 | D | |
| Common Stock | 9/16/2020 | | M | | 6103 | A | $17.3038 | 59861 | D | |
| Common Stock (1) | 9/16/2020 | | S | | 3468 | D | $83.4204 | 56393 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Non Qualified Stock Option | $8.062 | 9/15/2020 | | M | | | 4000 | (2) | 4/14/2024 | Common Stock | 4000 | $0 | 0 | D | |
| Non Qualified Stock Option | $8.05 | 9/15/2020 | | M | | | 5000 | (2) | 6/20/2024 | Common Stock | 5000 | $0 | 1212 | D | |
| Non Qualified Stock Option | $8.05 | 9/16/2020 | | M | | | 1212 | (2) | 6/20/2024 | Common Stock | 1212 | $0 | 0 | D | |
| Non Qualified Stock Option | $17.3038 | 9/16/2020 | | M | | | 6103 | (3) | 9/13/2023 | Common Stock | 6103 | $0 | 1525 | D | |
| Explanation of Responses: |
| (1) | This transaction involved the exercise of non-qualified stock options, the terms of which provided for the purchase of shares of common stock possessing multi-year restrictions on their sale or transfer. As such, the exercise followed the sell-to-cover process, whereby a portion of the shares acquired through the exercise were sold in the open market, with the proceeds used to fund the aggregate exercise price of the options and the income and employment taxes associated with the exercise. The balance of the shares acquired through exercise that were delivered to the reporting person are subject to holding periods through the fifth anniversary of the date of this transaction. |
| (2) | This stock option is exercisable in full. |
| (3) | The remaining 1,525 stock options vest on 9/13/2021. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Tuozzolo Claudio
25 FRONTAGE ROAD
ANDOVER, MA 01810 | X |
| Corp. Vice President |
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Signatures
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| /s/Richard J. Nagel Jr. Attorney in fact for Claudio Tuozzolo | | 9/17/2020 |
| **Signature of Reporting Person | Date |
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