SEC Form 4 · accession 0001111770-16-000004
VICOR CORP · VICR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry Kelleher
Officer — President, Brick Business Unit · Director
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 10:06 am EST
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 | Nov 10, 2016 | M | 8,000 | $6.29 | A | 10,257 | D | |
| Common Stock | Nov 10, 2016 | S | 8,000 | $13.8275 | D | 2,257 | D | |
| Common Stock | Nov 10, 2016 | M | 6,279 | $6.29 | A | 8,536 | D | |
| Common Stock | Nov 10, 2016 | S | 6,279 | $13.9478 | D | 2,257 | 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 OptionF1 | $6.29 | Nov 10, 2016 | M | 8,000 | D | — | Jun 17, 2023 | Common Stock | 8,000 | 140,084 | D |
| Non Qualified Stock OptionF1 | $6.29 | Nov 10, 2016 | M | 6,279 | D | — | Jun 17, 2023 | Common Stock | 6,279 | 133,805 | D |
Explanation of responses
- F1Granted 6/17/2013 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan, vesting over a five year period.