0001403540-20-000012.txt : 20200911 0001403540-20-000012.hdr.sgml : 20200911 20200911103522 ACCESSION NUMBER: 0001403540-20-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200909 FILED AS OF DATE: 20200911 DATE AS OF CHANGE: 20200911 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: 201170218 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 2020-09-09 0 0000751978 VICOR CORP vicr 0001403540 Tuozzolo Claudio 25 FRONTAGE ROAD ANDOVER MA 01810 1 1 0 0 Corp. Vice President Common Stock 2020-09-09 4 M 0 7327 8.062 A 54653 D Common Stock 2020-09-09 4 S 0 3714 84.2674 D 50939 D Common Stock 2020-09-09 4 M 0 2319 5.67 A 53258 D Common Stock 2020-09-09 4 S 0 2319 84.2674 D 50939 D Common Stock 2020-09-09 4 M 0 4224 6.29 A 55163 D Common Stock 2020-09-09 4 S 0 4224 84.2674 D 50939 D Common Stock 2020-09-09 4 M 0 4000 6.29 A 54939 D Common Stock 2020-09-09 4 S 0 4000 83.8941 D 50939 D Common Stock 2020-09-09 4 M 0 4000 8.062 A 54939 D Common Stock 2020-09-09 4 S 0 2027 83.8941 D 52912 D Non Qualified Stock Option 8.062 2020-09-09 4 M 0 11327 0 D 2024-04-14 Common Stock 11327 4000 D Non Qualified Stock Option 5.67 2020-09-09 4 M 0 2319 0 D 2023-06-21 Common Stock 2319 0 D Non Qualified Stock Option 6.29 2020-09-09 4 M 0 8224 0 D 2023-06-17 Common Stock 8224 0 D 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. This stock option is exercisable in full. /s/Richard J. Nagel Jr. Attorney in fact for Claudio Tuozzolo 2020-09-11