SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
SIMMS JAMES A
(Last) (First) (Middle)
25 FRONTAGE RD.
(Street)
ANDOVER MA 01810
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
VICOR CORP [ vicr ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
CFO and Secretary
3. Date of Earliest Transaction (Month/Day/Year)
03/01/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/01/2021 M 12,498 A $6.29 25,748 D
Common Stock 03/01/2021 S 12,498 D $101.2712 13,250 D
Common Stock 03/01/2021 M 2,484 A $8.05 15,734 D
Common Stock 03/01/2021 S 2,484 D $101.2712 13,250 D
Common Stock 03/01/2021 M 1,764 A $5.67 15,014 D
Common Stock 03/01/2021 S 1,764 D $101.2712 13,250 D
Common Stock 03/01/2021 M 13,504 A $11.42 26,754 D
Common Stock 03/01/2021 S 13,504 D $101.2712 13,250 D
Common Stock 03/01/2021 M 3,726 A $13.42 16,976 D
Common Stock 03/01/2021 S 3,726 D $101.2712 13,250 D
Common Stock 03/01/2021 M 3,771 A $10.61 17,021 D
Common Stock 03/01/2021 S 3,771 D $101.2712 13,250 D
Common Stock 03/01/2021 M 1,551 A $19.35 14,801 D
Common Stock 03/01/2021 S 1,551 D $101.2712 13,250 D
Common Stock 03/01/2021 M 425 A $47.15 13,675 D
Common Stock 03/01/2021 S 425 D $101.2712 13,250 D
Common Stock 03/01/2021 M 323 A $31.05 13,573 D
Common Stock 03/01/2021 S 323 D $101.2712 13,250 D
Common Stock 03/01/2021 S 1,947(1) D $101.3456 11,303 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Non Qualified Stock Option $6.29 03/01/2021 M 12,498 (2) 06/17/2023 Common Stock 12,498 $0 20,000 D
Non Qualified Stock Option $8.05 03/01/2021 M 2,484 (2) 06/20/2024 Common Stock 2,484 $0 0 D
Non Qualified Stock Option $5.67 03/01/2021 M 1,764 (2) 06/21/2023 Common Stock 1,764 $0 0 D
Non Qualified Stock Option $11.42 03/01/2021 M 13,504 (2) 10/23/2024 Common Stock 13,504 $0 0 D
Non Qualified Stock Option $13.42 03/01/2021 M 3,726 (2) 06/15/2025 Common Stock 3,726 $0 0 D
Non Qualified Stock Option $10.61 03/01/2021 M 3,771 (3) 06/17/2026 Common Stock 3,771 $0 942 D
Non Qualified Stock Option $19.35 03/01/2021 M 1,551 (4) 06/16/2027 Common Stock 1,551 $0 1,033 D
Non Qualified Stock Option $47.15 03/01/2021 M 425 (5) 06/15/2028 Common Stock 425 $0 636 D
Non Qualified Stock Option $31.05 03/01/2021 M 323 (6) 06/28/2029 Common Stock 323 $0 1,288 D
Explanation of Responses:
1. 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).
2. This stock option is exercisable in full.
3. Remaining options will vest on 6/17/2021.
4. Remaining options will vest in equal installments on 6/16/2021 and 6/16/2022.
5. Remaining options will vest in equal installments on 6/15/2021, 6/15/2022 and 6/15/2023.
6. Remaining options will vest in equal installments on 6/28/2021, 6/28/2022, 6/28/2023 and 6/28/2024.
/s/Richard J. Nagel Jr. Attorney in fact for James A. Simms 03/03/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.