SEC Form 4 · accession 0000899243-18-017137
VICOR CORP · VICR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Simms
Officer — CFO and Secretary · Director
Period of report
May 30, 2018
Accepted (ET)
Jun 19, 2018 · 1:30 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 | holding | — | — | — | 45,705 | 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 | $11.25 | May 30, 2018 | A | 10,170 | A | — | Nov 1, 2020 | Common Stock | 10,170 | 10,170 | D |
| Non Qualified Stock OptionF3 | $47.15 | Jun 15, 2018 | A | 1,061 | A | — | Jun 15, 2028 | Common Stock | 1,061 | 1,061 | 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.
- F3Granted on 6/15/2018 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.