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VICOR CORP — Director's Dealing 2021
Mar 3, 2021
31590_dirs_2021-03-03_9ceba603-9e77-4e3d-81fd-28f4f5d43637.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: VICOR CORP (vicr)
CIK: 0000751978
Period of Report: 2021-03-01
Reporting Person: SIMMS JAMES A (Director, CFO and Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-01 | Common Stock | M | 12498 | $6.29 | Acquired | 25748 | Direct |
| 2021-03-01 | Common Stock | S | 12498 | $101.2712 | Disposed | 13250 | Direct |
| 2021-03-01 | Common Stock | M | 2484 | $8.05 | Acquired | 15734 | Direct |
| 2021-03-01 | Common Stock | S | 2484 | $101.2712 | Disposed | 13250 | Direct |
| 2021-03-01 | Common Stock | M | 1764 | $5.67 | Acquired | 15014 | Direct |
| 2021-03-01 | Common Stock | S | 1764 | $101.2712 | Disposed | 13250 | Direct |
| 2021-03-01 | Common Stock | M | 13504 | $11.42 | Acquired | 26754 | Direct |
| 2021-03-01 | Common Stock | S | 13504 | $101.2712 | Disposed | 13250 | Direct |
| 2021-03-01 | Common Stock | M | 3726 | $13.42 | Acquired | 16976 | Direct |
| 2021-03-01 | Common Stock | S | 3726 | $101.2712 | Disposed | 13250 | Direct |
| 2021-03-01 | Common Stock | M | 3771 | $10.61 | Acquired | 17021 | Direct |
| 2021-03-01 | Common Stock | S | 3771 | $101.2712 | Disposed | 13250 | Direct |
| 2021-03-01 | Common Stock | M | 1551 | $19.35 | Acquired | 14801 | Direct |
| 2021-03-01 | Common Stock | S | 1551 | $101.2712 | Disposed | 13250 | Direct |
| 2021-03-01 | Common Stock | M | 425 | $47.15 | Acquired | 13675 | Direct |
| 2021-03-01 | Common Stock | S | 425 | $101.2712 | Disposed | 13250 | Direct |
| 2021-03-01 | Common Stock | M | 323 | $31.05 | Acquired | 13573 | Direct |
| 2021-03-01 | Common Stock | S | 323 | $101.2712 | Disposed | 13250 | Direct |
| 2021-03-01 | Common Stock | S | 1947 | $101.3456 | Disposed | 11303 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-01 | Non Qualified Stock Option | $6.29 | M | 12498 | Disposed | 2023-06-17 | Common Stock (12498) | Direct |
| 2021-03-01 | Non Qualified Stock Option | $8.05 | M | 2484 | Disposed | 2024-06-20 | Common Stock (2484) | Direct |
| 2021-03-01 | Non Qualified Stock Option | $5.67 | M | 1764 | Disposed | 2023-06-21 | Common Stock (1764) | Direct |
| 2021-03-01 | Non Qualified Stock Option | $11.42 | M | 13504 | Disposed | 2024-10-23 | Common Stock (13504) | Direct |
| 2021-03-01 | Non Qualified Stock Option | $13.42 | M | 3726 | Disposed | 2025-06-15 | Common Stock (3726) | Direct |
| 2021-03-01 | Non Qualified Stock Option | $10.61 | M | 3771 | Disposed | 2026-06-17 | Common Stock (3771) | Direct |
| 2021-03-01 | Non Qualified Stock Option | $19.35 | M | 1551 | Disposed | 2027-06-16 | Common Stock (1551) | Direct |
| 2021-03-01 | Non Qualified Stock Option | $47.15 | M | 425 | Disposed | 2028-06-15 | Common Stock (425) | Direct |
| 2021-03-01 | Non Qualified Stock Option | $31.05 | M | 323 | Disposed | 2029-06-28 | Common Stock (323) | Direct |
Footnotes
F1: The shares being sold were acquired under the Vicor 2017 Employee Stock Purchase Plan on 2/28/2018 (705 shares), 8/31/2018 (593 shares ), 2/28/2019 (470 shares) and 8/30/2019 (179 shares).
F2: This stock option is exercisable in full.
F3: Remaining options will vest on 6/17/2021.
F4: Remaining options will vest in equal installments on 6/16/2021 and 6/16/2022.
F5: Remaining options will vest in equal installments on 6/15/2021, 6/15/2022 and 6/15/2023.
F6: Remaining options will vest in equal installments on 6/28/2021, 6/28/2022, 6/28/2023 and 6/28/2024.