-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, S3C8Rx2f53kBMysrHbUfD94EAhtfxF+l6yaz8pxkGuwxmN8zZD+mZmtdFU4to8JD prLn26ehxhSLoxeDNU+xqA== 0001016276-01-500010.txt : 20010323 0001016276-01-500010.hdr.sgml : 20010323 ACCESSION NUMBER: 0001016276-01-500010 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010322 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VICOR CORP CENTRAL INDEX KEY: 0000751978 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 042742817 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-43949 FILM NUMBER: 1575362 BUSINESS ADDRESS: STREET 1: 25 FRONTAGE ROAD CITY: ANDOVER STATE: MA ZIP: 01810 BUSINESS PHONE: 9784702900 MAIL ADDRESS: STREET 1: 25 FRONTAGE RD CITY: ANDOVER STATE: MA ZIP: 01810 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEVIS CAPITAL MANAGEMENT INC /MD CENTRAL INDEX KEY: 0001016276 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 521740975 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1119 ST PAUL STREET CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 4103852645 MAIL ADDRESS: STREET 1: 1119 ST PAUL ST CITY: BALTIMORE STATE: MD ZIP: 21202 SC 13G/A 1 g13vi01.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Vicor Corp. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 925815102 (CUSIP Number) December 31, 2000 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ X ] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 925815102 1. NAME OF REPORTING PERSONS I.R.S. Identification Nos. of above persons (entities only). Nevis Capital Management, Inc. 52-1740975 2. CHECK THE APPROPRIATE LETTER IF A MEMBER OF A GROUP: (a) (b) 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Maryland Number of 5. SOLE VOTING POWER: Shares 0 Beneficially Owned by 6. SHARED VOTING POWER: Each 3,165,673 Reporting Person With 7. SOLE DISPOSITIVE POWER: 0 8. SHARED DISPOSITIVE POWER: 3,165,673 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 3,165,673 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 7.5% 12. TYPE OF REPORTING PERSON: IA CUSIP No. 925815102 1. NAME OF REPORTING PERSONS I.R.S. Identification Nos. of above persons (entities only). Jon C. Baker 2. CHECK THE APPROPRIATE LETTER IF A MEMBER OF A GROUP: (a) (b) 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Maryland Number of 5. SOLE VOTING POWER: Shares 0 Beneficially Owned by 6. SHARED VOTING POWER: Each 3,165,673 Reporting Person With 7. SOLE DISPOSITIVE POWER: 0 8. SHARED DISPOSITIVE POWER: 3,165,673 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 3,165,673 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 7.5% 12. TYPE OF REPORTING PERSON: IN CUSIP No. 925815102 1. NAME OF REPORTING PERSONS I.R.S. Identification Nos. of above persons (entities only). David R. Wilmerding, III 2. CHECK THE APPROPRIATE LETTER IF A MEMBER OF A GROUP: (a) (b) 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Maryland Number of 5. SOLE VOTING POWER: Shares 153,500 Beneficially Owned by 6. SHARED VOTING POWER: Each 3,165,673 Reporting Person With 7. SOLE DISPOSITIVE POWER: 153,500 8. SHARED DISPOSITIVE POWER: 3,165,673 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 3,319,173 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 7.9% 12. TYPE OF REPORTING PERSON: IN ITEM 1. (a) Name of Issuer: Vicor Corp. (b) Address of Issuer's Principal Executive Offices: 25 Frontage Road Andover, MA 01810 ITEM 2. (a) Name of Person Filing: NEVIS CAPITAL MANAGEMENT, INC. ("Nevis") Jon C. Baker ("Baker") David R. Wilmerding, III ("Wilmerding") (b) Address of Principal Business Office or, if none, Residence: Nevis, Baker and Wilmerding - 1119 St. Paul St, Baltimore MD 21202 (c) Citizenship: Nevis - MARYLAND Baker and Wilmerding - USA (d) Title of Class of Securities: COMMON STOCK (e) CUSIP Number: 925815102 ITEM 3. If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: Nevis: (a) [ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) [ X] An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (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 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). For Baker and Wilmerding: (a) [ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) [ ] An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) [ X ] A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (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 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). ITEM 4. Ownership (a) Amount Beneficially Owned: Wilmerding: 3,319,173 Nevis and Baker: 3,165,673 (b) Percent of Class: Wilmerding: 7.9% Nevis and Baker: 7.5% (c) Number of shares as to which the person has: (i) sole power to vote or to direct vote: Nevis: 0 Baker: 0 Wilmerding: 153,500 (ii) shared power to vote or to direct the vote: Nevis: 3,165,673 Baker: 3,165,673 Wilmerding: 3,165,673 (iii) sole power to dispose or to direct the disposition of: Nevis: 0 Baker: 0 Wilmerding: 153,500 (iv) shared power to dispose or to direct the disposition: Nevis: 3,165,673 Baker: 3,165,673 Wilmerding: 3,165,673 Item 5. Ownership of Five Percent or Less of a Class Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Nevis Capital Management, Inc. - Not Applicable Jon C. Baker and David R. Wilmerding, III, each control 50% of Nevis Capital Management, Inc. Nevis is registered as an investment adviser under the Investment Advisers Act of 1940. Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification (a) The following certification shall be included if the statement is filed pursuant to 240.13d-1(b): 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. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. 03-21-01 Date Nevis Capital Management, Inc. By: /s/ David R. Wilmerding, III David R. Wilmerding, III, President 03-21-01 Date /s/ Jon C. Baker Jon C. Baker 03-21-01 Date /s/ David R. Wilmerding David R. Wilmerding, III Page 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----