SEC Form 4 · accession 0001111770-17-000005
VICOR CORP · VICR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry Kelleher
Director
Period of report
Aug 30, 2017
Accepted (ET)
Aug 31, 2017 · 11:01 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 | Aug 30, 2017 | M | 1,242 | $8.05 | A | 3,499 | D | |
| Common Stock | Aug 30, 2017 | S | 1,242 | $18.7668 | D | 2,257 | D | |
| Common Stock | Aug 30, 2017 | M | 943 | $10.61 | A | 3,200 | D | |
| Common Stock | Aug 30, 2017 | S | 943 | $18.7668 | D | 2,257 | D | |
| Common Stock | Aug 30, 2017 | M | 2,139 | $6.29 | A | 4,396 | D | |
| Common Stock | Aug 30, 2017 | S | 2,139 | $18.7668 | 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 | $8.05 | Aug 30, 2017 | M | 1,242 | D | — | Jun 20, 2024 | Common Stock | 1,242 | 105,120 | D |
| Non Qualified Stock OptionF2 | $10.61 | Aug 30, 2017 | M | 943 | D | — | Jun 17, 2026 | Common Stock | 943 | 104,177 | D |
| Non Qualified Stock OptionF3 | $6.29 | Aug 30, 2017 | M | 2,139 | D | — | Jun 17, 2023 | Common Stock | 2,139 | 102,038 | D |
Explanation of responses
- F1Granted on 6/20/2014 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.
- F2Granted on 6/17/2016 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.
- F3Granted on 6/17/2013 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.