VIVUS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-01-22: Reporting owner Fischer Seth H. Z.; Form 4/A; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-01-22: Reporting owner Varghese Santosh T; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-01-22: Reporting owner Fischer Seth H.Z.; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-01-22: Reporting owner Slebir John L; Form 4; Security Employee 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-01-22 | Fischer Seth H. Z. Director, Officer (Chief Executive Officer) | 4/A | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $1.06 exercise price | 2016-09-28 | |
| 2016-01-22 | Varghese Santosh T Officer (VP, Medical & Reg Affairs) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +550,000 550,000 owned after | $1.06 exercise price | 2016-01-26 | |
| 2016-01-22 | Fischer Seth H.Z. 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) | +1,900,000 1,900,000 owned after | $1.06 exercise price | 2016-01-26 | |
| 2016-01-22 | Slebir John L Officer (SVP, Business Development & GC) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +625,000 625,000 owned after | $1.06 exercise price | 2016-01-26 | |
| 2016-01-22 | Oki Mark K Officer (Chief Financial Officer & CAO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +93,500 93,500 owned after | $1.06 exercise price | 2016-01-26 |