VICOR CORP — Director's Dealing 2014

Oct 21, 2014

SEC Form 4/A — Form 4/A

Issuer: VICOR CORP (vicr)
CIK: 0000751978
Period of Report: 2013-06-17

Reporting Person: SIMMS JAMES A (Director, CFO and Secretary)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2013-06-17	Non Qualified Stock Option	$12.44	D	30000	Disposed	2018-05-01	Common Stock (30000)	Direct
2013-06-17	Non Qualified Stock Option	$11.7	D	4274	Disposed	2013-06-24	Common Stock (4274)	Direct
2013-06-17	Non Qualified Stock Option	$15.64	D	3197	Disposed	2014-06-23	Common Stock (3197)	Direct
2013-06-17	Non Qualified Stock Option	$6.08	D	8224	Disposed	2015-06-21	Common Stock (8224)	Direct
2013-06-17	Non Qualified Stock Option	$13.73	D	50000	Disposed	2020-08-27	Common Stock (50000)	Direct
2013-06-17	Non Qualified Stock Option	$6.29	A	30000	Acquired	2023-06-17	Common Stock (30000)	Direct
2013-06-17	Non Qualified Stock Option	$6.29	A	4274	Acquired	2023-06-17	Common Stock (4274)	Direct
2013-06-17	Non Qualified Stock Option	$6.29	A	3197	Acquired	2023-06-17	Common Stock (3197)	Direct
2013-06-17	Non Qualified Stock Option	$6.29	A	8224	Acquired	2023-06-17	Common Stock (8224)	Direct
2013-06-17	Non Qualified Stock Option	$6.29	A	10000	Acquired	2023-06-17	Common Stock (10000)	Direct
2013-06-17	Non Qualified Stock Option	$7.34	A	10000	Acquired	2023-06-17	Common Stock (10000)	Direct
2013-06-17	Non Qualified Stock Option	$8.38	A	9305	Acquired	2023-06-17	Common Stock (9305)	Direct
2013-06-17	Non Qualified Stock Option	$9.43	A	0	Acquired		Common Stock (0)	Direct
2013-06-17	Non Qualified Stock Option	$10.48	A	0	Acquired		Common Stock (0)	Direct

Footnotes

F1: Granted 5/1/2008 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vests over a five year period.

F2: Granted 6/24/2010 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vests over a two year period.

F3: Granted 6/23/2011 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vests over a two year period.

F4: Granted 6/21/2012 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan and vests over a two year period.

F5: Granted 8/27/2010 under the Company's Amended and Restated 2000 Stock Option and Incentive Plan, vesting when certain defined performance milestones for the Company's Brick Business Unit are achieved.

F6: On 6/17/2013, the issuer canceled, pursuant to the issuer's Offer to Exchange, filed on Schedule TO with the Securities and Exchange Commission on May 17, 2013, options granted to the reporting person. In exchange, the reporting person was awarded replacement options, having exercise prices ranging from $6.29 to $10.48 per share.

F7: The replacement options vest over a five year period in equal installments.

F8: Pursuant to the issuer's Offer to Exchange, the replacement options awarded in exchange for the Brick Business Unit performance options canceled are broken into five price increments: the first fifth vests on the first anniversary date, the second fifth on the second anniversary date, the third fifth on the third anniversary date, the fourth fifth on the fourth anniversary date, and the last fifth on the fifth anniversary date of the new options award.

F9: On a Form 4 filed on June 19, 2013, the reporting person reported acquiring options to purchase 10,000 shares pursuant to the Company's Amended and Restated 2000 Stock Option and Incentive Plan. However, the Company subsequently determined that, in an aggregate amount including the options to purchase 695 shares that are the subject of this amendment, options to purchase 29,514 shares were not validly granted during 2013 pursuant to the Company's Amended and Restated 2000 Stock Option and Incentive Plan because the grants exceeded the limit on the number of options that may be granted to any individual participant within any calendar year. Accordingly, the attempted grant of these excess options was ineffective, and they were never granted to the reporting person. The reporting person is filing this amendment to report the correct amount of options acquired on June 17, 2013.

F10: On a Form 4 filed on June 19, 2013, the reporting person reported acquiring options to purchase 10,000 shares pursuant to the Company's Amended and Restated 2000 Stock Option and Incentive Plan. However, the Company subsequently determined that, in an aggregate amount including the options to purchase 10,000 shares that are the subject of this amendment, options to purchase 29,514 shares were not validly granted during 2013 pursuant to the Company's Amended and Restated 2000 Stock Option and Incentive Plan because the grants exceeded the limit on the number of options that may be granted to any individual participant within any calendar year. Accordingly, the attempted grant of these excess options was ineffective, and they were never granted to the reporting person. The reporting person is filing this amendment to report the correct amount of options acquired on June 17, 2013.

F11: On a Form 4 filed on June 19, 2013, the reporting person reported acquiring options to purchase 10,000 shares pursuant to the Company's Amended and Restated 2000 Stock Option and Incentive Plan. However, the Company subsequently determined that, in an aggregate amount including the options to purchase 10,000 shares that are the subject of this amendment, options to purchase 29,514 shares were not validly granted during 2013 pursuant to the Company's Amended and Restated 2000 Stock Option and Incentive Plan because the grants exceeded the limit on the number of options that may be granted to any individual participant within any calendar year. Accordingly, the attempted grant of these excess options was ineffective, and they were never granted to the reporting person. The reporting person is filing this amendment to report the correct amount of options acquired on June 17, 2013.