Sec Form 4 Filing - Tuozzolo Claudio @ VICOR CORP - 2020-04-28

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 Tuozzolo Claudio 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) Corp. Vice President (Last) (First) (Middle) 25 FRONTAGE ROAD 3. Date of Earliest Transaction (MM/DD/YY) 04/28/2020 (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 04/28/2020 M 7,000 A $ 11.2534 28,376 D Common Stock ( 1 ) 04/28/2020 S 3,892 D $ 48.655 24,484 D Common Stock 04/28/2020 S( 2 ) 264 D $ 48.738 24,220 D Common Stock 04/29/2020 M 3,500 A $ 11.2534 27,720 D Common Stock ( 1 ) 04/29/2020 S 1,908 D $ 53.9889 25,812 D Common Stock 04/29/2020 M 3,500 A $ 5.35 29,312 D Common Stock 04/29/2020 S 3,500 D $ 53.3225 25,812 D

Table II - Derivative Securiti es 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 04/28/2020 M 7,000 ( 3 ) 11/01/2020 Common Stock 7,000 $ 0 12,604 D Non Qualified Stock Option $ 11.2534 04/29/2020 M 3,500 ( 3 ) 11/01/2020 Common Stock 3,500 $ 0 9,104 D Non Qualified Stock Option $ 5.35 04/29/2020 M 3,500 ( 3 ) 05/14/2023 Common Stock 3,500 $ 0 3,500 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Tuozzolo Claudio 25 FRONTAGE ROAD ANDOVER, MA01810 X Corp. Vice President Signatures /s/Richard J. Nagel Jr. Attorney in fact Claudio Tuozzolo 04/30/2020 Signature of Reporting Person Date

Explanation of Responses:

( 1 )This transaction involved non-qualified stock options, the terms of which provided for the purchase of shares of common stock possessing certain liquidity restrictions. As such, the exercise of the options followed the sell to cover process, whereby a certain number of the shares acquired through exercise were sold in the open market, with the proceeds used to fund the exercise price and associated income and employment taxes. The balance of the shares acquired through exercise are subject to multi-year restrictions on transfer or sale. ( 2 )The 264 shares being sold were acquired under the Vicor 2017 Employee Stock Purchase Plan on 8/31/18. ( 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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