Filing Details
- Accession Number:
- 0001403540-20-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-04-30 10:58:51
- Reporting Period:
- 2020-04-28
- Accepted Time:
- 2020-04-30 10:58:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 751978 | Vicor Corp | VICR | Electronic Components, Nec (3679) | 042742817 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1403540 | Claudio Tuozzolo | 25 Frontage Road Andover MA 01810 | Corp. Vice President | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-04-28 | 7,000 | $11.25 | 28,376 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-04-28 | 3,892 | $48.66 | 24,484 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-04-28 | 264 | $48.74 | 24,220 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-04-29 | 3,500 | $11.25 | 27,720 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-04-29 | 1,908 | $53.99 | 25,812 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-04-29 | 3,500 | $5.35 | 29,312 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-04-29 | 3,500 | $53.32 | 25,812 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non Qualified Stock Option | Disposition | 2020-04-28 | 7,000 | $0.00 | 7,000 | $11.25 |
| Common Stock | Non Qualified Stock Option | Disposition | 2020-04-29 | 3,500 | $0.00 | 3,500 | $11.25 |
| Common Stock | Non Qualified Stock Option | Disposition | 2020-04-29 | 3,500 | $0.00 | 3,500 | $5.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 12,604 | 2020-11-01 | No | 4 | M | Direct | |
| 9,104 | 2020-11-01 | No | 4 | M | Direct | |
| 3,500 | 2023-05-14 | No | 4 | M | Direct |
Footnotes
- 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.
- The 264 shares being sold were acquired under the Vicor 2017 Employee Stock Purchase Plan on 8/31/18.
- This stock option is exercisable in full.
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