0001654925-20-000006.txt : 20200916 0001654925-20-000006.hdr.sgml : 20200916 20200916095338 ACCESSION NUMBER: 0001654925-20-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200914 FILED AS OF DATE: 20200916 DATE AS OF CHANGE: 20200916 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gusinov Alex CENTRAL INDEX KEY: 0001654925 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18277 FILM NUMBER: 201177606 MAIL ADDRESS: STREET 1: 25 FRONTAGE RD. 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 2020-09-14 0 0000751978 VICOR CORP vicr 0001654925 Gusinov Alex 25 FRONTAGE RD. ANDOVER MA 01810 0 1 0 0 Corp. Vice President Eng. Common Stock 2020-09-14 4 M 0 1222 17.3038 A 19860 D Common Stock 2020-09-14 4 S 0 669 82.5 D 19191 D Common Stock 2020-09-14 4 M 0 458 12.1913 A 19649 D Common Stock 2020-09-14 4 S 0 234 82.5 D 19415 D Non Qualified Stock Option 17.3038 2020-09-14 4 M 0 1222 0 D 2023-09-13 Common Stock 1222 1220 D Non Qualified Stock Option 12.1913 2020-09-14 4 M 0 458 0 D 2024-07-21 Common Stock 458 914 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. The remaining 1,220 stock options vest on 9/13/2021. The remaining 914 stock options vest on 7/21/2021 and 7/21/2022. /s/Richard J. Nagel Jr. Attorney in fact for Alex Gusinov 2020-09-16