0001123292-17-000339.txt : 20170210
0001123292-17-000339.hdr.sgml : 20170210
20170210160441
ACCESSION NUMBER: 0001123292-17-000339
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170208
FILED AS OF DATE: 20170210
DATE AS OF CHANGE: 20170210
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: VIVUS INC
CENTRAL INDEX KEY: 0000881524
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 943136179
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 900 E. HAMILTON AVENUE
STREET 2: SUITE 550
CITY: CAMPBELL
STATE: CA
ZIP: 95008
BUSINESS PHONE: 6509345200
MAIL ADDRESS:
STREET 1: 900 E. HAMILTON AVENUE
STREET 2: SUITE 550
CITY: CAMPBELL
STATE: CA
ZIP: 95008
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Roberts Eric W
CENTRAL INDEX KEY: 0001576244
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33389
FILM NUMBER: 17593200
MAIL ADDRESS:
STREET 1: VALENCE LIFE SCIENCES LLC
STREET 2: 500 PARK AVENUE 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-02-08
0000881524
VIVUS INC
VVUS
0001576244
Roberts Eric W
C/O VIVUS, INC.
900 E. HAMILTON AVE., SUITE 550
CAMPBELL
CA
95008
1
0
0
0
Common Stock
2017-02-08
4
M
0
12500
A
46687
D
Common Stock
2017-02-08
4
D
0
4859
1.08
D
41828
D
Restricted Stock Units
2017-02-08
4
M
0
12500
0
D
Common Stock
12500
37500
D
Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis upon vesting.
The reporting person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than by way of forfeiture to VIVUS, Inc. in order to cover estimated tax liability.
The restricted stock units (RSUs) vest according to the following schedule: Commencing on November 8, 2016, 1/4th of the total RSUs originally granted shall vest on each of February 8, 2017, May 8, 2017, August 8, 2017 and November 8, 2017; provided, however, that (a) if the next annual stockholder meeting occurs prior to November 8, 2017 and the individual has remained a Service Provider (as defined in the VIVUS, Inc. 2010 Equity Incentive Plan), the vesting of the RSUs shall accelerate in full as of the date of the next annual stockholder meeting and (b) if the individual ceases to be a Service Provider (other than removal for cause) prior to any of the foregoing vesting dates, then 1/12th of the shares underlying the RSUs shall accelerate for each month elapsed from the most recent vesting date until the month in which the individual (i) ceases to be a Service Provider and (ii) has remained a Service Provider through at least the 8th day of such month.
/s/ Julie Hollenback, Attorney-in-Fact
2017-02-10