VIVUS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 125 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-02-23: Reporting owner Perry Lee; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-02-23: Reporting owner Perry Lee; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-02-23: Reporting owner Perry Lee; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-01-27: Reporting owner MILLER MICHAEL PATRICK; Form 4; Security Incentive Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-02-23 | Perry Lee Officer (VP & Chief Accounting Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,000 142 owned after | $4.25 exercise price | 2012-02-24 | |
| 2012-02-23 | Perry Lee Officer (VP & Chief Accounting Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,500 32,250 owned after | $6.05 exercise price | 2012-02-24 | |
| 2012-02-23 | Perry Lee Officer (VP & Chief Accounting Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,000 1,250 owned after | $6.05 exercise price | 2012-02-24 | |
| 2012-01-27 | MILLER MICHAEL PATRICK Officer (Chief Commercial Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,357 9,357 owned after | $12.04 exercise price | 2012-03-02 | |
| 2012-01-27 | MILLER MICHAEL PATRICK Officer (Chief Commercial Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,643 80,643 owned after | $12.04 exercise price | 2012-03-02 | |
| 2012-01-27 | WILSON LELAND F Director, Officer (Chief Executive Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,007 12,007 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | WILSON LELAND F Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +328,993 328,993 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | MILLER MICHAEL /NY/ Officer (Chief Commercial Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,357 9,357 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | MILLER MICHAEL /NY/ Officer (Chief Commercial Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,643 80,643 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | Day Wesley Officer (VP, Clinical Development) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,591 8,591 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | Day Wesley Officer (VP, Clinical Development) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,409 41,409 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | MARSH GUY P Officer (VP, Operations & General Mgr.) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,970 8,970 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | MARSH GUY P Officer (VP, Operations & General Mgr.) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +81,030 81,030 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | 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 | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | MORRIS TIMOTHY E Officer (VP, Finance and CFO) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,970 8,970 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | MORRIS TIMOTHY E Officer (VP, Finance and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +81,030 81,030 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | 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 | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | 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 | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | TAM PETER Y Director, Officer (President) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,001 9,001 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | TAM PETER Y Director, Officer (President) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,999 96,999 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | Slebir John L Officer (VP, General Counsel) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,776 6,776 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-27 | Slebir John L Officer (VP, General Counsel) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,224 43,224 owned after | $12.04 exercise price | 2012-01-31 | |
| 2012-01-09 | Perry Lee Officer (VP & Chief Accounting Officer) | 4 | Employee 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 | $2.95 exercise price | 2012-01-11 | |
| 2012-01-09 | Perry Lee Officer (VP & Chief Accounting Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,700 0 owned after | $3.13 exercise price | 2012-01-11 | |
| 2012-01-09 | 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 | −30,000 0 owned after | $3.28 exercise price | 2012-01-11 |