Form Type: 4

SEC EDGAR Link
Accession Number:0001403540-20-000003
Date:2020-05-12
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 2020-05-12 M 5,104 a $11.25 39,738 direct
COMMON STOCK 2020-05-12 S 2,815 d $54.29 36,923 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 2020-05-12 deemed execution date M 5,104 (d) 2020-11-01 common stock 5,104 $11.25 0 direct
Footnotes
IDfootnote
f1 this transaction involved the exercise of non-qualified stock options, the terms of which provided for the purchase of shares of common stock possessing multi-year restrictions on their sale or transfer. as such, the exercise followed the sell-to-cover process, whereby a portion of the shares acquired through the exercise were sold in the open market, with the proceeds used to fund the aggregate exercise price of the options and the income and employment taxes associated with the exercise. the balance of the shares acquired through exercise that were delivered to the reporting person are subject to holding periods through the fifth anniversary of the date of this transaction.
f2 this stock option is exercisable in full.
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