SEC Form 4 · accession 0001111770-18-000001
VICOR CORP · VICR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry Kelleher
Director
Period of report
Apr 26, 2018
Accepted (ET)
Apr 30, 2018 · 2:07 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 | Apr 26, 2018 | M | 5,000 | $11.42 | A | 7,257 | D | |
| Common Stock | Apr 26, 2018 | S | 5,000 | $36.701 | D | 2,257 | D | |
| Common Stock | Apr 26, 2018 | M | 5,000 | $11.42 | A | 7,257 | D | |
| Common Stock | Apr 26, 2018 | S | 5,000 | $36.7555 | D | 2,257 | D | |
| Common Stock | Apr 26, 2018 | M | 6,000 | $11.42 | A | 8,257 | D | |
| Common Stock | Apr 26, 2018 | S | 6,000 | $36.7197 | D | 2,257 | D | |
| Common Stock | Apr 26, 2018 | M | 1,491 | $13.42 | A | 3,748 | D | |
| Common Stock | Apr 26, 2018 | S | 1,491 | $36.7435 | D | 2,257 | D | |
| Common Stock | Apr 26, 2018 | M | 4,727 | $11.42 | A | 6,984 | D | |
| Common Stock | Apr 26, 2018 | S | 4,727 | $36.7435 | 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 | $11.42 | Apr 26, 2018 | M | 5,000 | D | — | Oct 23, 2024 | Common Stock | 5,000 | 71,362 | D |
| Non Qualified Stock OptionF1 | $11.42 | Apr 26, 2018 | M | 5,000 | D | — | Oct 23, 2024 | Common Stock | 5,000 | 66,362 | D |
| Non Qualified Stock OptionF1 | $11.42 | Apr 26, 2018 | M | 6,000 | D | — | Oct 23, 2024 | Common Stock | 6,000 | 60,362 | D |
| Non Qualified Stock OptionF2 | $13.42 | Apr 26, 2018 | M | 1,491 | D | — | Jun 19, 2025 | Common Stock | 1,491 | 58,871 | D |
| Non Qualified Stock OptionF1 | $11.42 | Apr 26, 2018 | M | 4,727 | D | — | Oct 23, 2024 | Common Stock | 4,727 | 54,144 | D |
Explanation of responses
- F1Granted on 10/23/2014 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.
- F2Granted on 6/19/2015 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.