0001403540-19-000004.txt : 20191115 0001403540-19-000004.hdr.sgml : 20191115 20191115133402 ACCESSION NUMBER: 0001403540-19-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191114 FILED AS OF DATE: 20191115 DATE AS OF CHANGE: 20191115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tuozzolo Claudio CENTRAL INDEX KEY: 0001403540 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18277 FILM NUMBER: 191223499 MAIL ADDRESS: STREET 1: 25 FRONTAGE ROAD CITY: ANDOVER STATE: MA ZIP: 01810 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VICOR CORP CENTRAL INDEX KEY: 0000751978 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 042742817 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 25 FRONTAGE ROAD CITY: ANDOVER STATE: MA ZIP: 01810 BUSINESS PHONE: (978) 470-2900 MAIL ADDRESS: STREET 1: 25 FRONTAGE RD CITY: ANDOVER STATE: MA ZIP: 01810 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-11-14 0 0000751978 VICOR CORP vicr 0001403540 Tuozzolo Claudio 25 FRONTAGE ROAD ANDOVER MA 01810 1 1 0 0 Corp. Vice President Common Stock 2019-11-14 4 M 0 12000 11.2534 A 33989 D Common Stock 2019-11-14 4 S 0 7325 39.6035 D 26664 D Non Qualified Stock Option 11.2534 2019-11-14 4 M 0 12000 0 D 2020-11-01 Common Stock 12000 25604 D 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. This stock option is exercisable in full. /s/Richard J. Nagel Jr. Attorney in fact Claudio Tuozzolo 2019-11-15