SEC Form 4 · accession 0001111770-17-000002
VICOR CORP · VICR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry Kelleher
Director
Period of report
Jun 5, 2017
Accepted (ET)
Jun 7, 2017 · 10:54 am 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 5, 2017 | M | 206 | $5.35 | A | 2,463 | D | |
| Common Stock | Jun 5, 2017 | S | 206 | $19.6049 | D | 2,257 | D | |
| Common Stock | Jun 6, 2017 | M | 1,656 | $7.34 | A | 3,913 | D | |
| Common Stock | Jun 6, 2017 | S | 1,656 | $19.6969 | D | 2,257 | D | |
| Common Stock | Jun 6, 2017 | M | 4,794 | $5.35 | A | 7,051 | D | |
| Common Stock | Jun 6, 2017 | S | 4,794 | $19.6969 | 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 | $5.35 | Jun 5, 2017 | M | 206 | D | — | May 14, 2023 | Common Stock | 206 | 115,228 | D |
| Non Qualified Stock Option | $7.34 | Jun 6, 2017 | M | 1,656 | D | Jun 17, 2015 | Jun 17, 2023 | Common Stock | 1,656 | 113,572 | D |
| Non Qualified Stock OptionF1 | $5.35 | Jun 6, 2017 | M | 4,794 | D | — | May 14, 2023 | Common Stock | 4,794 | 108,778 | D |
Explanation of responses
- F1Granted on 5/14/2013 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.