0001123292-20-000198.txt : 20200131 0001123292-20-000198.hdr.sgml : 20200131 20200131172505 ACCESSION NUMBER: 0001123292-20-000198 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200129 FILED AS OF DATE: 20200131 DATE AS OF CHANGE: 20200131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oki Mark K CENTRAL INDEX KEY: 0001491847 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33389 FILM NUMBER: 20566106 MAIL ADDRESS: STREET 1: C/O ALEXZA PHARMACEUTICALS INC STREET 2: 2091 STIERLIN COURT CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 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 2020-01-29 0000881524 VIVUS INC VVUS 0001491847 Oki Mark K C/O VIVUS, INC. 900 E. HAMILTON AVE., SUITE 550 CAMPBELL CA 95008 0 1 0 0 Chief Financial Officer & CAO Employee Stock Option (right to buy) 2.21 2020-01-29 4 A 0 32000 0 A Common Stock 32000 32000 D (i) One-half of the total number of shares subject to the stock option will vest and become exercisable over four years, such that one-fourth of such shares will vest and become exercisable on January 29, 2021 and an additional one forty-eighth of such shares will vest and become exercisable monthly thereafter over a period of three years following the first anniversary of the date of grant, 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; and (ii) one-half of the total number of shares subject to the stock option will vest and become exercisable upon the achievement of both: (a) satisfaction of a performance target involving the Issuer's enterprise value and (b) the passage of at least two years from the date of grant, subject to the reporting person continuing to be a Service Provider upon the achievement of the later of (a) and (b). The option expires on the earlier of (a) January 29, 2027 and (b) the twelve (12) month anniversary of the date the reporting person ceases to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan). /s/ John L. Slebir, Attorney-in-Fact 2020-01-31