Norton David Y

SEC source: 0001529193-26-000002 · wk-form4_1780089107.xml · derivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,110

Underlying: Ordinary Shares · 21,110 shares

Expires 2036-05-26

F1 · derivative.exercise_date: The shares underlying this option vest in full upon the earlier to occur of (i) the first anniversary of the date of grant or (ii) the date of COMPASS Pathways plc's Annual General Meeting of Shareholders in 2027.

F2 · derivative.underlying: The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.

SEC source: 0001816590-25-000079 · wk-form4_1749817570.xml · derivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,000

Underlying: Ordinary Shares · 26,000 shares

Expires 2035-06-11

F1 · derivative.exercise_date: The shares underlying this option vest in full upon the earlier to occur of (i) the first anniversary of the date of grant or (ii) the date of COMPASS Pathways plc's Annual General Meeting of Shareholders in 2026.

F2 · derivative.underlying: The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.

SEC source: 0001816590-24-000094 · wk-form4_1715596993.xml · derivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,000

Underlying: Ordinary Shares · 39,000 shares

Expires 2034-05-08

F1 · derivative.exercise_date: The shares underlying this option vest in full upon the earlier to occur of (i) the first anniversary of the date of grant or (ii) the date of COMPASS Pathways plc's Annual General Meeting of Shareholders in 2025.

F2 · derivative.underlying: The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.

SEC source: 0001816590-23-000084 · wk-form4_1686082939.xml · derivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,000

Underlying: Ordinary Shares · 26,000 shares

Expires 2033-06-01

F1 · security: The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.

F2 · derivative.exercise_date: The shares underlying this option vest in full upon the earlier to occur of (i) the first anniversary of the date of grant or (ii) the date of COMPASS Pathways plc's Annual Meeting of Shareholders in 2024.

SEC source: 0001816590-22-000057 · wf-form4_165549656731377.xml · derivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Ordinary Shares · 17,000 shares

Expires 2032-06-15

F1 · security: The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.

F2 · derivative.exercise_date: The shares underlying this option vest in full upon the earlier to occur of (i) the first anniversary of the date of grant or (ii) the date of COMPASS Pathways plc's Annual Meeting of Shareholders in 2023.

SEC source: 0001816590-22-000018 · wf-form4_164875032876665.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,356

F1 · security: The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.

F2 · shares: Shares were sold to satisfy payment of a tax liability upon Restricted Share Units ("RSUs") vesting.

F3 · balance_after: Includes 23,740 RSUs granted under the Issuer's 2020 Share Option and Incentive Plan. Each RSU represents a contingent right to receive one Ordinary Share. 25% of the RSUs vested on August 12, 2021, with the remainder vesting in twelve equal quarterly installments thereafter.

SEC source: 0001235110-21-000021 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price represents a weighted average. The shares were sold in multiple transactions at prices ranging from $0.2506 to $0.2628, inclusive. Mr. Norton will provide, upon request of the SEC staff, Mallinckrodt plc or a shareholder of Mallinckrodt plc complete information regarding the number of shares purchased at each price within the range.

SEC source: 0000950138-20-000537 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price represents a weighted average. The shares were sold in multiple transactions at prices ranging from $0.401 to $0.408, inclusive. Mr. Norton will provide, upon request of the SEC staff, Mallinckrodt plc or a shareholder of Mallinckrodt plc complete information regarding the number of shares purchased at each price within the range.

SEC source: 0000950138-20-000531 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,080

F1 · price: The price represents a weighted average. The shares were sold in multiple transactions at prices ranging from $0.432 to $0.44, inclusive. Mr. Norton will provide, upon request of the SEC staff, Mallinckrodt plc or a shareholder of Mallinckrodt plc complete information regarding the number of shares purchased at each price within the range.

SEC source: 0000950138-20-000259 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,167

SEC source: 0001123292-20-000325 · edgar.xml · derivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F1 · derivative.exercise_date: One twelfth (1/12th) of the total number of shares underlying the option vest and become exercisable on the monthly anniversary date following June 5, 2019, 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.

F2 · derivative.expiration_date: The option expires on the earlier of (a) February 20, 2027 and (b) the six (6) month anniversary of the date the reporting person ceases to be a Service Provider.

SEC source: 0000950138-19-000310 · edgar.xml · nonDerivative · entry 2

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,896

F1 · shares: Consists of restricted stock units that vest in their entirety as of the date of the Company's 2020 Annual General Meeting. The restricted stock units settle in ordinary shares upon vesting.

SEC source: 0000950138-19-000310 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,500

SEC source: 0001123292-18-001041 · edgar.xml · derivative · entry 2

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F2 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

SEC source: 0000950138-18-000423 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,027

F1 · shares: Consists of restricted stock units that vest in their entirety as of the date of the Company's 2019 Annual General Meeting. The restricted stock units settle in ordinary shares upon vesting.

SEC source: 0000950138-18-000214 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,080

SEC source: 0000950138-17-000750 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,601

SEC source: 0001123292-17-001646 · edgar.xml · derivative · entry 4

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

SEC source: 0001123292-17-001646 · edgar.xml · derivative · entry 3

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2024-10-27

F1 · derivative.exercise_date: One twelfth (1/12th) of the total number of shares subject to the option shall vest and become exercisable on the 27th of each month following October 27, 2017, subject to such individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates.

SEC source: 0001123292-17-001646 · edgar.xml · nonDerivative · entry 2

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,120

F3 · kind: 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.

SEC source: 0001123292-17-001646 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,245

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

SEC source: 0000950138-17-000648 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,601

F1 · shares: Consists of restricted stock units that vest in their entirety as of March 1, 2018. The restricted stock units settle in ordinary shares upon vesting.

SEC source: 0001123292-17-001337 · edgar.xml · derivative · entry 3

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

SEC source: 0001123292-17-001337 · edgar.xml · nonDerivative · entry 2

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,745

F2 · kind: 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.

SEC source: 0001123292-17-001337 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,870

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

SEC source: 0001123292-17-001144 · edgar.xml · nonDerivative · entry 2

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,370

F2 · kind: 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.

SEC source: 0001529193-17-000001 · wf-form4_149565689941524.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,988

F1 · shares: Represents an award of restricted stock units which vests in full one year from the grant date, subject to continued service on the Issuer's Board of Directors.

SEC source: 0001123292-17-001144 · edgar.xml · derivative · entry 3

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 12,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

SEC source: 0001123292-17-001144 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,495

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

SEC source: 0001123292-17-000336 · edgar.xml · derivative · entry 3

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 12,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

SEC source: 0001123292-17-000336 · edgar.xml · nonDerivative · entry 2

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,995

F2 · kind: 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.

SEC source: 0001123292-17-000336 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,120

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

SEC source: 0001123292-17-000182 · edgar.xml · derivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of VIVUS, Inc. common stock.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001123292-16-002918 · edgar.xml · derivative · entry 3

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

F3 · derivative.exercise_date: The restricted stock units vest according to the following schedule: 7/12ths of the total restricted stock units originally granted vested on May 30, 2016, and an additional 1/12th of the total restricted stock units originally granted vest on the last day of each calendar month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates.

F3 · derivative.expiration_date: The restricted stock units vest according to the following schedule: 7/12ths of the total restricted stock units originally granted vested on May 30, 2016, and an additional 1/12th of the total restricted stock units originally granted vest on the last day of each calendar month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates.

SEC source: 0001123292-16-002918 · edgar.xml · nonDerivative · entry 2

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,620

F2 · kind: 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.

SEC source: 0001123292-16-002918 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,401

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

SEC source: 0001123292-16-002799 · edgar.xml · derivative · entry 3

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,125

Underlying: Common Stock · 3,125 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.

F3 · derivative.exercise_date: The restricted stock units vest according to the following schedule: 7/12ths of the total restricted stock units originally granted vested on May 30, 2016, and an additional 1/12th of the total restricted stock units originally granted vest on the last day of each calendar month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates.

F3 · derivative.expiration_date: The restricted stock units vest according to the following schedule: 7/12ths of the total restricted stock units originally granted vested on May 30, 2016, and an additional 1/12th of the total restricted stock units originally granted vest on the last day of each calendar month thereafter, subject to the individual continuing to be a Service Provider (as defined in the 2010 Equity Incentive Plan) on the relevant vesting dates.

SEC source: 0001123292-16-002799 · edgar.xml · nonDerivative · entry 2

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,276

F2 · kind: 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.

SEC source: 0001123292-16-002799 · edgar.xml · nonDerivative · entry 1

Norton David Y · CIK 0001529193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,057

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units converted into VIVUS, Inc. common stock on a 1-for-1 basis.