VIVUS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-06: Reporting owner CASAMENTO CHARLES J; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-11-11: Reporting owner Day Wesley; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-11-11: Reporting owner Day Wesley; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-07-11: Reporting owner TAM PETER Y; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-12-06 | CASAMENTO CHARLES J Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $4.23 exercise price | 2011-12-08 | |
| 2011-11-11 | Day Wesley Officer (VP, Clinical Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,400 0 owned after | $3.13 exercise price | 2011-11-15 | |
| 2011-11-11 | Day Wesley Officer (VP, Clinical Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,042 0 owned after | $3.28 exercise price | 2011-11-15 | |
| 2011-07-11 | TAM PETER Y Director, Officer (President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $3.40 exercise price | 2011-07-12 | |
| 2011-06-17 | LOGAN MARK B Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $7.67 exercise price | 2011-06-20 | |
| 2011-06-17 | SHORTLIFFE LINDA M DAIRIKI Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $7.67 exercise price | 2011-06-20 | |
| 2011-06-17 | CASAMENTO CHARLES J Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $7.67 exercise price | 2011-06-20 | |
| 2011-01-21 | SHORTLIFFE LINDA M DAIRIKI Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $8.74 exercise price | 2011-01-25 | |
| 2011-01-21 | CASAMENTO CHARLES J Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $8.74 exercise price | 2011-01-25 | |
| 2011-01-21 | LOGAN MARK B Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $8.74 exercise price | 2011-01-25 | |
| 2011-01-21 | Slebir John L Officer (General Counsel & Asst. Sec.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +170,000 170,000 owned after | $8.74 exercise price | 2011-01-25 | |
| 2011-01-21 | Perry Lee Officer (VP & Chief Accounting Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $8.74 exercise price | 2011-01-25 | |
| 2011-01-21 | Day Wesley Officer (VP, Clinical Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $8.74 exercise price | 2011-01-25 | |
| 2011-01-21 | MARSH GUY P Officer (VP, US Operations & GM) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $8.74 exercise price | 2011-01-25 | |
| 2011-01-21 | MILLER MICHAEL PATRICK Officer (SVP, Chief Commercial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +54,400 54,400 owned after | $8.74 exercise price | 2011-01-25 | |
| 2011-01-21 | MORRIS TIMOTHY E Officer (SVP, Finance & CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $8.74 exercise price | 2011-01-25 | |
| 2011-01-21 | TAM PETER Y Director, Officer (President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $8.74 exercise price | 2011-01-25 | |
| 2011-01-21 | WILSON LELAND F Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $8.74 exercise price | 2011-01-25 |