0001403540-20-000013.txt : 20200917 0001403540-20-000013.hdr.sgml : 20200917 20200917104734 ACCESSION NUMBER: 0001403540-20-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200915 FILED AS OF DATE: 20200917 DATE AS OF CHANGE: 20200917 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: 201180409 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 2020-09-15 0 0000751978 VICOR CORP vicr 0001403540 Tuozzolo Claudio 25 FRONTAGE ROAD ANDOVER MA 01810 1 1 0 0 Corp. Vice President Common Stock 2020-09-15 4 M 0 4000 8.062 A 56912 D Common Stock 2020-09-15 4 S 0 2030 82.7623 D 54882 D Common Stock 2020-09-15 4 M 0 5000 8.05 A 59882 D Common Stock 2020-09-15 4 S 0 5000 82.7623 D 54882 D Common Stock 2020-09-15 4 S 0 1124 82.7623 D 53758 D Common Stock 2020-09-16 4 M 0 1212 8.05 A 54970 D Common Stock 2020-09-16 4 S 0 1212 83.4399 D 53758 D Common Stock 2020-09-16 4 M 0 6103 17.3038 A 59861 D Common Stock 2020-09-16 4 S 0 3468 83.4204 D 56393 D Non Qualified Stock Option 8.062 2020-09-15 4 M 0 4000 0 D 2024-04-14 Common Stock 4000 0 D Non Qualified Stock Option 8.05 2020-09-15 4 M 0 5000 0 D 2024-06-20 Common Stock 5000 1212 D Non Qualified Stock Option 8.05 2020-09-16 4 M 0 1212 0 D 2024-06-20 Common Stock 1212 0 D Non Qualified Stock Option 17.3038 2020-09-16 4 M 0 6103 0 D 2023-09-13 Common Stock 6103 1525 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. The remaining 1,525 stock options vest on 9/13/2021. /s/Richard J. Nagel Jr. Attorney in fact for Claudio Tuozzolo 2020-09-17