Statement of Changes in Beneficial Ownership (4)
June 19 2018 - 2:16PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Gusinov Alex
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2. Issuer Name
and
Ticker or Trading Symbol
VICOR CORP
[
VICR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Corp. VP Engineering
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(Last)
(First)
(Middle)
VICOR CORPORATION, 25 FRONTAGE RD.
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/30/2018
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(Street)
ANDOVER, MA 01810
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/30/2018
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A
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172
(1)
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A
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(1)
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172
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D
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Common Stock
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6/11/2018
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M
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2288
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A
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$19.86
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2460
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D
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Common Stock
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6/11/2018
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S
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1417
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D
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$49.30
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1043
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Non Qualified Stock Option
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$19.86
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5/30/2018
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A
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2288
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(2)
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6/12/2018
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Common Stock
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2.288
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(3)
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2288
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D
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Non Qualified Stock Option
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$11.25
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5/30/2018
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A
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22630
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(2)
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11/1/2020
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Common Stock
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22630
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(3)
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22630
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D
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Non Qualified Stock Option
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$12.57
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5/30/2018
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A
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4322
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(2)
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5/15/2022
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Common Stock
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4322
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(3)
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4322
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D
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Non Qualified Stock Option
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$17.30
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5/30/2018
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A
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6102
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(4)
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9/13/2023
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Common Stock
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6102
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(3)
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6102
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D
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Non Qualified Stock Option
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$8.06
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5/30/2018
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A
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14239
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(5)
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4/14/2024
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Common Stock
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14239
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(3)
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14239
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D
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Non Qualified Stock Option
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$12.19
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5/30/2018
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A
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2288
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(6)
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7/21/2024
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Common Stock
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2288
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(3)
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2288
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D
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Non Qualified Stock Option
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$19.86
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6/11/2018
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M
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2288
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(2)
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6/12/2018
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Common Stock
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2288
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$0.00
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0
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D
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Explanation of Responses:
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(1)
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Received in exchange for shares of Picor Corporation common stock in connection with the merger of Picor Corporation into Vicor Corporation (the "Merger").
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(2)
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This stock option is exercisable in full.
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(3)
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In the Merger, each outstanding stock option was amended to provide that it will be settled in shares of Vicor Corporation common stock, and to adjust the number of shares issuable pursuant to the Merger's exchange ratio.
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(4)
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This stock option becomes exercisable in five equal installments on 5/30/18, 9/13/18, 9/13/19, 9/13/20 and 9/13/21.
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(5)
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11,391 stock options are exercisable at 5/30/18. The remaining 2,848 stock options become exercisable on 4/14/19.
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(6)
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This stock option becomes exercisable in five equal installments on 7/21/18, 7/21/19, 7/21/20, 7/21/21 and 7/21/22.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Gusinov Alex
VICOR CORPORATION
25 FRONTAGE RD.
ANDOVER, MA 01810
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Corp. VP Engineering
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Signatures
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/s/Richard J. Nagel Jr. Attorney in fact for Alex Gusinov
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6/19/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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