Filing Details
- Accession Number:
- 0001254402-20-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-05-06 15:30:44
- Reporting Period:
- 2020-05-05
- Accepted Time:
- 2020-05-06 15:30:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 751978 | Vicor Corp | VICR | Electronic Components, Nec (3679) | 042742817 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1254402 | A James Simms | 25 Frontage Rd. Andover MA 01810 | Cfo And Secretary | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-05-05 | 5,085 | $11.25 | 52,032 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-05-05 | 2,849 | $53.10 | 49,183 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-05-05 | 5,085 | $11.25 | 54,268 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-05-05 | 2,857 | $53.10 | 51,411 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-05-05 | 14,179 | $7.05 | 65,590 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-05-05 | 7,340 | $53.10 | 58,250 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non Qualified Stock Option | Disposition | 2020-05-05 | 5,085 | $0.00 | 5,085 | $11.25 |
| Common Stock | Non Qualified Stock Option | Disposition | 2020-05-05 | 5,085 | $0.00 | 5,085 | $11.25 |
| Common Stock | Non Qualified Stock Option | Disposition | 2020-05-05 | 14,179 | $0.00 | 14,179 | $7.05 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-11-01 | No | 4 | M | Direct | |
| 0 | 2020-11-01 | No | 4 | M | Direct | |
| 0 | 2020-12-31 | No | 4 | M | Direct |
Footnotes
- Includes 179 shares acquired under the Vicor Corporation 2017 Employee Stock Purchase Plan on August 31, 2019.
- 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.
- This stock option is exercisable in full.
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