0001123292-18-001041.txt : 20181029 0001123292-18-001041.hdr.sgml : 20181029 20181029194700 ACCESSION NUMBER: 0001123292-18-001041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181026 FILED AS OF DATE: 20181029 DATE AS OF CHANGE: 20181029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Norton David Y CENTRAL INDEX KEY: 0001529193 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33389 FILM NUMBER: 181145284 MAIL ADDRESS: STREET 1: 8 GREENHOLM STREET, APT C CITY: PRINCETON STATE: NJ ZIP: 08540 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VIVUS INC CENTRAL INDEX KEY: 0000881524 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943136179 STATE OF INCORPORATION: DE 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-10-26 0000881524 VIVUS INC VVUS 0001529193 Norton David Y C/O VIVUS, INC. 900 E. HAMILTON AVE., SUITE 550 CAMPBELL CA 95008 1 0 0 0 Common Stock 6712 D Non-Qualified Stock Option (Right to Buy) 3.53 2018-10-26 4 A 0 15000 0 A Common Stock 15000 15000 D On September 10, 2018, VIVUS, Inc. effected a 1-for-10 reverse stock split (the "Reverse Split"). Accordingly, 67,120 shares of common stock on a pre-Reverse Split basis were adjusted to 6,712 shares following the Reverse Split (with fractional shares rounded up to the next whole number). One twelfth (1/12th) of the total number of shares underlying the option vest and become exercisable on the 26th of each month following October 26, 2018, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan) on the relevant vesting dates. The option expires on the earlier of (a) October 26, 2025 and (b) the six (6) month anniversary of the date the reporting person ceases to be a Service Provider. /s/ Julie Hollenback, Attorney-in-Fact 2018-10-29