SEC Form 4 · accession 0001254402-18-000001
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
Apr 26, 2018
Accepted (ET)
Apr 30, 2018 · 3:37 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 StockF1 | Apr 26, 2018 | M | 20,257 | $11.42 | A | 65,962 | D | |
| Common StockF1 | Apr 26, 2018 | S | 20,257 | $36.7189 | D | 45,705 | D | |
| Common StockF1 | Apr 26, 2018 | M | 3,728 | $8.05 | A | 49,433 | D | |
| Common StockF1 | Apr 26, 2018 | S | 3,728 | $36.7189 | D | 45,705 | D | |
| Common StockF1 | Apr 26, 2018 | M | 5,000 | $5.35 | A | 50,705 | D | |
| Common StockF1 | Apr 26, 2018 | S | 5,000 | $36.7189 | D | 45,705 | 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 OptionF2 | $11.42 | Apr 26, 2018 | M | 20,257 | D | — | Oct 23, 2024 | Common Stock | 20,257 | 98,198 | D |
| Non Qualified Stock OptionF3 | $8.05 | Apr 26, 2018 | M | 3,728 | D | — | Jun 20, 2024 | Common Stock | 3,728 | 94,470 | D |
| Non Qualified Stock OptionF4 | $5.35 | Apr 26, 2018 | M | 5,000 | D | — | May 14, 2023 | Common Stock | 5,000 | 89,470 | D |
Explanation of responses
- F1Includes 705 shares acquired under the Vicor Corporation 2017 Employee Stock Purchase Plan on February 28, 2018.
- F2Granted on 10/23/2014 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.
- F3Granted on 6/20/2014 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.
- F4Granted on 5/14/2013 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.