0001140361-17-010912.txt : 20170307
0001140361-17-010912.hdr.sgml : 20170307
20170307171812
ACCESSION NUMBER: 0001140361-17-010912
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170303
FILED AS OF DATE: 20170307
DATE AS OF CHANGE: 20170307
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: Laughlin Conan
CENTRAL INDEX KEY: 0001594068
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33389
FILM NUMBER: 17672973
MAIL ADDRESS:
STREET 1: C/O NORTH TIDE CAPITAL, LLC
STREET 2: 500 BOYLSTON STREET, SUITE 1860
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: North Tide Capital Master, LP
CENTRAL INDEX KEY: 0001594882
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33389
FILM NUMBER: 17672974
BUSINESS ADDRESS:
STREET 1: C/O NORTH TIDE CAPITAL, LLC
STREET 2: 500 BOYLSTON STREET, SUITE 1860
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: (617) 449-3130
MAIL ADDRESS:
STREET 1: C/O NORTH TIDE CAPITAL, LLC
STREET 2: 500 BOYLSTON STREET, SUITE 1860
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NORTH TIDE CAPITAL, LLC
CENTRAL INDEX KEY: 0001557543
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33389
FILM NUMBER: 17672975
BUSINESS ADDRESS:
STREET 1: 500 BOYLSTON STREET
STREET 2: SUITE 1860
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-449-3120
MAIL ADDRESS:
STREET 1: 500 BOYLSTON STREET
STREET 2: SUITE 1860
CITY: BOSTON
STATE: MA
ZIP: 02116
4
1
doc1.xml
FORM 4
X0306
4
2017-03-03
0
0000881524
VIVUS INC
VVUS
0001557543
NORTH TIDE CAPITAL, LLC
500 BOYLSTON STREET
SUITE 1860
BOSTON
MA
02116
0
0
1
0
0001594882
North Tide Capital Master, LP
500 BOYLSTON STREET
SUITE 1860
BOSTON
MA
02116
0
0
1
0
0001594068
Laughlin Conan
500 BOYLSTON STREET
SUITE 1860
BOSTON
MA
02116
1
0
1
0
Common Stock
2017-03-03
4
S
0
1700
1.11
D
11807200
I
See Footnote
Common Stock
2017-03-03
4
S
0
31200
1.105
D
11776000
I
See Footnote
Common Stock
2017-03-06
4
S
0
10000
1.095
D
11766000
I
See Footnote
Common Stock
2017-03-06
4
S
0
4800
1.1
D
11761200
I
See Footnote
Common Stock
2017-03-07
4
S
0
105100
1.0747
D
11656100
I
See Footnote
Common Stock
2017-03-07
4
S
0
40000
1.08
D
11616100
I
See Footnote
North Tide Capital, LLC ("North Tide") serves as investment manager for North Tide Capital Master, LP (the "Master Fund") and a managed account (the "Account"). Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934 or for any other purpose.
Of the shares sold on March 3, 2017 at a price of $1.1100, 1,572 shares were held for the account of the Master Fund, 128 shares were held for the account of the Account, and all of such shares may be deemed to have been beneficially owned by North Tide and Mr. Laughlin.
Of the shares sold on March 3, 2017 at a price of $1.1050, 28,851 shares were held for the account of the Master Fund, 2,349 shares were held for the account of the Account, and all of such shares may be deemed to have been beneficially owned by North Tide and Mr. Laughlin.
Of the shares sold on March 6, 2017 at a price of $1.0950, 9,247 shares were held for the account of the Master Fund, 753 shares were held for the account of the Account, and all of such shares may be deemed to have been beneficially owned by North Tide and Mr. Laughlin.
Of the shares sold on March 6, 2017 at a price of $1.1000, 4,439 shares were held for the account of the Master Fund, 361 shares were held for the account of the Account, and all of such shares may be deemed to have been beneficially owned by North Tide and Mr. Laughlin.
Of the shares sold on March 7, 2017 at a price of $1.0747, 97,188 shares were held for the account of the Master Fund, 7,912 shares were held for the account of the Account, and all of such shares may be deemed to have been beneficially owned by North Tide and Mr. Laughlin.
Of the shares sold on March 7, 2017 at a price of $1.0800, 36,989 shares were held for the account of the Master Fund, 3,011 shares were held for the account of the Account, and all of such shares may be deemed to have been beneficially owned by North Tide and Mr. Laughlin. As of March 7, 2017, 10,118,013 shares were held for the account of the Master Fund 1,498,087 shares were held for the account of the Account, and all of such shares may be deemed beneficially owned by North Tide and Mr. Laughlin.
/s/ NORTH TIDE CAPITAL, LLC by Conan Laughlin, Manager
2017-03-07
/s/ NORTH TIDE CAPITAL MASTER, LP, by North Tide Capital GP, LLC, Conan Laughlin, Manager
2017-03-07
/s/ Conan Laughlin, Individually
2017-03-07