SEC Form 4 · accession 0001254402-17-000001
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
Feb 28, 2017
Accepted (ET)
Mar 2, 2017 · 2:47 pm 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 | Feb 28, 2017 | M | 3,541 | $5.35 | A | 48,541 | D | |
| Common Stock | Feb 28, 2017 | S | 3,541 | $16.0921 | D | 45,000 | D | |
| Common Stock | Feb 28, 2017 | M | 11,459 | $5.35 | A | 56,459 | D | |
| Common Stock | Feb 28, 2017 | S | 11,459 | $16.1388 | D | 45,000 | D | |
| Common Stock | Feb 28, 2017 | M | 10,000 | $6.29 | A | 55,000 | D | |
| Common Stock | Feb 28, 2017 | S | 10,000 | $16.1388 | D | 45,000 | D | |
| Common Stock | Feb 28, 2017 | M | 7,541 | $8.38 | A | 52,541 | D | |
| Common Stock | Feb 28, 2017 | S | 7,541 | $16.1388 | D | 45,000 | 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 | Feb 28, 2017 | M | 3,541 | D | — | May 14, 2023 | Common Stock | 3,541 | 144,871 | D |
| Non Qualified Stock OptionF1 | $5.35 | Feb 28, 2017 | M | 11,459 | D | — | May 14, 2023 | Common Stock | 11,459 | 133,412 | D |
| Non Qualified Stock Option | $6.29 | Feb 28, 2017 | M | 10,000 | D | Jun 17, 2014 | Jun 17, 2023 | Common Stock | 10,000 | 123,412 | D |
| Non Qualified Stock Option | $8.38 | Feb 28, 2017 | M | 7,541 | D | Jun 17, 2016 | Jun 17, 2023 | Common Stock | 7,541 | 115,871 | D |
Explanation of responses
- F1Granted Under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.