Washington, D.C. 20549
Item 1.
Vicor Corporation
(b) Address of Issuer's Principal Executive Offices:
25 Frontage Road, Andover, MA 01810
Item 2.
(a) Name of Person Filing:
Ashford Capital Management, Inc.
(b) Address of Principal Business Office or, if none, Residence:
One Walker's Mill Road, Wilmington, DE 19807
| (c) | Citizenship: A Delaware Corporation |
| (d) | Title of Class of Securities: Common Stock, $0.01 Par Value Per Share |
(e) CUSIP Number: 925815102
Item 3. | If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
| | (a) | ☐ | Broker or dealer registered under section 15 of the Act |
| | (b) | ☐ | Bank as defined in section 3(a)(6) of the Act |
| | (c) | ☐ | Insurance company as defined in section 3(a)(19) of the Act |
| (d) | ☐ | Investment company registered under section 8 of the Investment Company Act of 1940 |
| (e) | ☒ | An investment adviser in accordance with §240.13d-1(b)(1(ii)(E) |
| (f) | ☐ | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F) |
| (g) | ☐ | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G) |
| (h) | ☐ | A savings association as defined in section 3(b) of the Federal Deposit Insurance Act |
| (i) | ☐ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 |
| (j) | ☐ | Group, in accordance with §240.13d-1(b)-1(ii)(J) |
CUSIP No. 925815102 | 13G/A | Page 4 of 5 Pages |
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) Amount Beneficially Owned: 1,773,614 shares
(b) Percent of Class: 6.4%
The foregoing percentage is calculated based on 27,581,137 shares of Common Stock reported to be outstanding as of October 20, 2017 in the Issuer's September 30, 2017 Quarterly Report filed on Form 10-Q.
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote: 1,773,614 shares
(ii) Shared power to vote or to direct the vote: 0 shares
(iii) Sole power to dispose or to direct the disposition of: 1,773,614 shares
(iv) Shared power to dispose or to direct the disposition of: 0 shares
| Item 5. | Ownership of Five Percent or Less of a Class |
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐. N/A
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person |
The shares reported by the Reporting Person, a registered investment advisor, are held in separate individual client accounts, three separate limited partnerships, and one commingled fund.
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company |
N/A
| Item 8. | Identification and Classification of Members of the Group |
N/A
| Item 9. | Notice of Dissolution of Group |
N/A
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
CUSIP No. 925815102 | 13G/A | Page 5 of 5 Pages |
SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 12, 2018
ASHFORD CAPITAL MANAGEMENT, INC.
By: /s/ Anthony M. Petrucci
Anthony M. Petrucci
Chief Financial Officer and Chief Compliance Officer
