SEC Form 4 · accession 0000899243-18-017135
VICOR CORP · VICR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Gendron
Officer — Corp. VP Marketing
Period of report
May 30, 2018
Accepted (ET)
Jun 19, 2018 · 1:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000751978
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 11, 2018 | M | 9,585 | $11.0921 | A | 9,585 | D | |
| Common Stock | Jun 11, 2018 | S | 4,410 | $49.202 | D | 5,175 | D | |
| Common Stock | Jun 11, 2018 | M | 1,017 | $12.5747 | A | 6,192 | D | |
| Common Stock | Jun 11, 2018 | S | 490 | $49.202 | D | 5,702 | D | |
| Common Stock | Jun 13, 2018 | M | 1,573 | $11.0921 | A | 7,275 | D | |
| Common Stock | Jun 13, 2018 | S | 721 | $47.50 | D | 6,554 | D | |
| Common Stock | Jun 14, 2018 | M | 10,710 | $11.0921 | A | 17,264 | D | |
| Common Stock | Jun 14, 2018 | S | 4,970 | $46.933 | D | 12,294 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non Qualified Stock OptionF2,F1 | $11.0921 | May 30, 2018 | A | 21,868 | A | — | Apr 14, 2021 | Common Stock | 21,868 | 21,868 | D |
| Non Qualified Stock OptionF2,F1 | $12.5747 | May 30, 2018 | A | 1,017 | A | — | May 15, 2022 | Common Stock | 1,017 | 1,017 | D |
| Non Qualified Stock OptionF1 | $11.0921 | Jun 11, 2018 | D | 9,585 | D | — | Apr 14, 2021 | Common Stock | 9,585 | 12,283 | D |
| Non Qualified Stock OptionF1 | $12.5747 | Jun 11, 2018 | D | 1,017 | D | — | May 15, 2022 | Common Stock | 1,017 | 0 | D |
| Non Qualified Stock OptionF1 | $11.0921 | Jun 13, 2018 | D | 1,573 | D | — | Apr 14, 2021 | Common Stock | 1,573 | 10,710 | D |
| Non Qualified Stock OptionF1 | $11.0921 | Jun 14, 2018 | D | 10,710 | D | — | Apr 14, 2021 | Common Stock | 10,710 | 0 | D |
Explanation of responses
- F1This stock option is exercisable in full.
- F2In the Merger, each outstanding stock option was amended to provide that it will be settled in shares of Vicor Corporation common stock, and to adjust the number of shares issuable pursuant to the Merger's exchange ratio.