0001403540-20-000001.txt : 20200430 0001403540-20-000001.hdr.sgml : 20200430 20200430105851 ACCESSION NUMBER: 0001403540-20-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200428 FILED AS OF DATE: 20200430 DATE AS OF CHANGE: 20200430 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: 20833865 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 2020-04-28 0 0000751978 VICOR CORP vicr 0001403540 Tuozzolo Claudio 25 FRONTAGE ROAD ANDOVER MA 01810 1 1 0 0 Corp. Vice President Common Stock 2020-04-28 4 M 0 7000 11.2534 A 28376 D Common Stock 2020-04-28 4 S 0 3892 48.655 D 24484 D Common Stock 2020-04-28 4 S 0 264 48.738 D 24220 D Common Stock 2020-04-29 4 M 0 3500 11.2534 A 27720 D Common Stock 2020-04-29 4 S 0 1908 53.9889 D 25812 D Common Stock 2020-04-29 4 M 0 3500 5.35 A 29312 D Common Stock 2020-04-29 4 S 0 3500 53.3225 D 25812 D Non Qualified Stock Option 11.2534 2020-04-28 4 M 0 7000 0 D 2020-11-01 Common Stock 7000 12604 D Non Qualified Stock Option 11.2534 2020-04-29 4 M 0 3500 0 D 2020-11-01 Common Stock 3500 9104 D Non Qualified Stock Option 5.35 2020-04-29 4 M 0 3500 0 D 2023-05-14 Common Stock 3500 3500 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. 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. /s/Richard J. Nagel Jr. Attorney in fact Claudio Tuozzolo 2020-04-30