VIVUS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-10-27: Reporting owner Shaw Allan; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-10-27: Reporting owner ROSENMAN HERM; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-10-27: Reporting owner Roberts Eric W; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-10-27: Reporting owner Plutzky Jorge MD; Form 4; Security Non-Qualified 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-10-27 | Shaw Allan Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.70 exercise price | 2017-10-31 | |
| 2017-10-27 | ROSENMAN HERM Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.70 exercise price | 2017-10-31 | |
| 2017-10-27 | Roberts Eric W Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.70 exercise price | 2017-10-31 | |
| 2017-10-27 | Plutzky Jorge MD Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.70 exercise price | 2017-10-31 | |
| 2017-10-27 | Norton David Y Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.70 exercise price | 2017-10-31 | |
| 2017-07-27 | KING THOMAS BRAXTON Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 125,000 owned after | $1.15 exercise price | 2017-07-31 | |
| 2017-01-27 | 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) | +1,000,000 1,000,000 owned after | $1.12 exercise price | 2017-01-31 | |
| 2017-01-27 | 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) | +385,000 385,000 owned after | $1.12 exercise price | 2017-01-31 | |
| 2017-01-27 | 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) | +437,500 437,500 owned after | $1.12 exercise price | 2017-01-31 | |
| 2017-01-27 | Varghese Santosh T Officer (Chief Medical Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +385,000 385,000 owned after | $1.12 exercise price | 2017-01-31 |