SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Doyle Alvaro

(Last) (First) (Middle)
25 FRONTAGE RD.

(Street)
ANDOVER MA 01810

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/28/2020
3. Issuer Name and Ticker or Trading Symbol
VICOR CORP [ vicr ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP and CIO
5. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Non Qualified Stock Option (1) 07/21/2024 Common Stock 1,276 6.77 D
Non Qualified Stock Option (2) 10/02/2027 Common Stock 3,500 24.15 D
Non Qualified Stock Option (3) 06/24/2030 Common Stock 6,013 69.04 D
Non Qualified Stock Option (4) 09/09/2030 Common Stock 3,600 84.5 D
Explanation of Responses:
1. 710 options are vested. The remaining 566 options vest on 7/21/2021 and 7/21/2022.
2. Granted under the Company's Amended and Restated 2000 Stock Option and Incentive Plan on 10/2/2017 and vest over a five year period.
3. Granted under the Company's Amended and Restated 2000 Stock Option and Incentive Plan on 6/24/2020 and vest over a five year period.
4. Granted under the Company's Amended and Restated 2000 Stock Option and Incentive Plan on 9/9/2020 and vest over a five year period.
/s/Richard J. Nagel Jr. Attorney in fact for Alvaro Doyle 10/06/2020
** 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 5 (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.
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