Form Type: 4

SEC EDGAR Link
Accession Number:0001403540-20-000001
Date:2020-04-28
Issuer: VICOR CORP (VICR)
Original Submission Date:

Reporting Person:

TUOZZOLO CLAUDIO
25 FRONTAGE ROAD
ANDOVER, MA 01810

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature 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
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
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.
WhaleWisdom Logo

Elevate your investments