Sec Form 4 Filing - SIMMS JAMES A @ VICOR CORP - 2020-05-05

FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person SIMMS JAMES A 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 (Last) (First) (Middle) 25 FRONTAGE RD. 3. Date of Earliest Transaction (MM/DD/YY) 05/05/2020 (Street) ANDOVER, MA01810 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 05/05/2020 M 5,085 A $ 11.2534 52,032 ( 1 ) D Common Stock ( 2 ) 05/05/2020 S 2,849 D $ 53.1031 49,183 ( 1 ) D Common Stock 05/05/2020 M 5,085 A $ 11.2534 54,268 ( 1 ) D Common Stock ( 2 ) 05/05/2020 S 2,857 D $ 53.1031 51,411 ( 1 ) D Common Stock 05/05/2020 M 14,179 A $ 7.05 65,590 ( 1 ) D Common Stock ( 2 ) 05/05/2020 S 7,340 D $ 53.1031 58,250 ( 1 ) 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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 (MM/DD/YY) 7. Title and Amount of Underlying Securities (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 of Derivative Security: 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 $ 11.2534 05/05/2020 M 5,085 ( 3 ) 11/01/2020 Common Stock 5,085 $ 0 0 D Non Qualified Stock Option $ 11.2534 05/05/2020 M 5,085 ( 3 ) 11/01/2020 Common Stock 5,085 $ 0 0 D Non Qualified Stock Option $ 7.05 05/05/2020 M 14,179 ( 3 ) 12/31/2020 Common Stock 14,179 $ 0 0 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other SIMMS JAMES A 25 FRONTAGE RD. ANDOVER, MA01810 X CFO and Secretary Signatures /s/Richard J. Nagel Jr. Attorney in fact for James A. Simms 05/06/2020 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Includes 179 shares acquired under the Vicor Corporation 2017 Employee Stock Purchase Plan on August 31, 2019. ( 2 )This transaction involved the exercise of non-qualified stock options, the terms of which provided for the purchase of shares of common stock possessing multi-year restrictions on their sale or transfer. As such, the exercise followed the sell-to-cover process, whereby a portion of the shares acquired through the exercise were sold in the open market, with the proceeds used to fund the aggregate exercise price of the options and the income and employment taxes associated with the exercise. The balance of the shares acquired through exercise that were delivered to the reporting person are subject to holding periods through the fifth anniversary of the date of this transaction. ( 3 )This stock option is exercisable in full.

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).

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