Accession Number: | 0001403540-20-000001 |
Date: | 2020-04-28 |
Issuer: | VICOR CORP (VICR) |
Original Submission Date: |
TUOZZOLO CLAUDIO
25 FRONTAGE ROAD
ANDOVER, MA 01810
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2020-04-28 | M | 7,000 | a | $11.25 | 28,376 | direct | ||
COMMON STOCK | 2020-04-28 | S | 3,892 | d | $48.66 | 24,484 | direct | ||
COMMON STOCK | 2020-04-28 | S | 264 | d | $48.74 | 24,220 | direct | ||
COMMON STOCK | 2020-04-29 | M | 3,500 | a | $11.25 | 27,720 | direct | ||
COMMON STOCK | 2020-04-29 | S | 1,908 | d | $53.99 | 25,812 | direct | ||
COMMON STOCK | 2020-04-29 | M | 3,500 | a | $5.35 | 29,312 | direct | ||
COMMON STOCK | 2020-04-29 | S | 3,500 | d | $53.32 | 25,812 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
NON QUALIFIED STOCK OPTION | 11.2534 | 2020-04-28 | deemed execution date | M | 7,000 (d) | 2020-11-01 | common stock 7,000 | $11.25 | 12,604 | direct | ||
NON QUALIFIED STOCK OPTION | 11.2534 | 2020-04-29 | deemed execution date | M | 3,500 (d) | 2020-11-01 | common stock 3,500 | $11.25 | 9,104 | direct | ||
NON QUALIFIED STOCK OPTION | 5.35 | 2020-04-29 | deemed execution date | M | 3,500 (d) | 2023-05-14 | common stock 3,500 | $5.35 | 3,500 | direct |
ID | footnote |
---|---|
f1 | this transaction involved non-qualified stock options, the terms of which provided for the purchase of shares of common stock possessing certain liquidity restrictions. as such, the exercise of the options followed the sell to cover process, whereby a certain number of the shares acquired through exercise were sold in the open market, with the proceeds used to fund the exercise price and associated income and employment taxes. the balance of the shares acquired through exercise are subject to multi-year restrictions on transfer or sale. |
f2 | the 264 shares being sold were acquired under the vicor 2017 employee stock purchase plan on 8/31/18. |
f3 | this stock option is exercisable in full. |