Attached files

file filename
EX-2.2 - EX-2.2 - VIVUS INCa13-14829_1ex2d2.htm
EX-31.5 - EX-31.5 - VIVUS INCa13-14829_1ex31d5.htm
EX-31.6 - EX-31.6 - VIVUS INCa13-14829_1ex31d6.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 


 

FORM 10-K/A

(Amendment No. 2)

 


 

x

ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the fiscal year ended December 31, 2012

 

OR

 

o

TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (NO FEE REQUIRED)

 

For the transition period from             to             

 

Commission File Number 001-33389

 

VIVUS, INC.

(Exact name of Registrant as specified in its charter)

 

Delaware

 

94-3136179

(State or other jurisdiction of
incorporation or organization)

 

(IRS employer identification number)

 

 

 

1172 Castro Street
Mountain View, California

 

94040

(Address of principal executive office)

 

(Zip Code)

 

Registrant’s telephone number, including area code: (650) 934-5200

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class

 

Name of Each Exchange on Which Registered

Common Stock, $0.001 Par Value
(Title of class)

 

The NASDAQ Global Select Market

Preferred Share Purchase Rights
(Title of class)

 

 

 

Securities registered pursuant to Section 12(g) of the Act:

None

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes x  No o

 

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes o  No x

 

Indicate by check mark whether the Registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x  No o

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes x  No o

 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405) is not contained herein, and will not be contained, to the best of Registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. o

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer x

 

Accelerated filer o

 

 

 

Non-accelerated filer o

 

Smaller reporting company o

(Do not check if a smaller reporting company)

 

 

 

Indicate by check mark whether the Registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes o  No x

 

The aggregate market value of the common equity held by non-affiliates of the Registrant as of June 30, 2012 totaled approximately $2,847,137,500 based on the closing stock price as reported by the NASDAQ Global Market.

 

As of May 20, 2013, there were 100,723,284 shares of the Registrant’s common stock, $0.001 par value per share, outstanding.

 

DOCUMENTS INCORPORATED BY REFERENCE

 

Document Description

 

10-K part

None.

 

 

 

 

 



 

VIVUS, INC.

 

FISCAL 2012 FORM 10-K

 

EXPLANATORY NOTE

 

This Amendment No. 2 to Form 10-K, or Amendment No. 2, amends the Annual Report on Form 10-K for the fiscal year ended December 31, 2012 originally filed on February 26, 2013, or the Original Filing, as amended by Form 10-K/A filed on April 30, 2013, or Amendment No. 1, by VIVUS, Inc., a Delaware corporation, or the Company. The Company is filing this Amendment No. 2 solely to update the exhibit index of the Original Filing and to file Exhibit 2.2, which was inadvertently filed as Exhibit 10.26 in the Original Filing.

 

Except as described above, no other changes have been made to the Original Filing or Amendment No. 1. The Original Filing and Amendment No. 1 continue to speak as of the date thereof, and the Company has not updated the disclosures contained therein to reflect any events which occurred at a date subsequent to the filing of the Original Filing and Amendment No. 1, respectively.

 

In the Company’s filings with the Securities and Exchange Commission, or the Commission, information is sometimes “incorporated by reference.” This means that the Company refers you to information previously filed with the Commission that should be considered as part of the particular filing.

 

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PART IV

 

Item 15.  Exhibits and Financial Statement Schedules

 

The financial statements, financial statement schedules and exhibits listed in the exhibit index of the Original Filing and Amendment No. 1 and the exhibits listed in the exhibit index of this Amendment No. 2 are filed with, or incorporated by reference in, this Amendment No. 2.

 

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SIGNATURES

 

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this Amendment No. 2 to be signed on its behalf by the undersigned, thereunto duly authorized:

 

 

 

VIVUS, INC.,

 

a Delaware Corporation

 

 

 

 

 

 

By:

/s/ LELAND F. WILSON

 

 

Leland F. Wilson

 

 

Chief Executive Officer

 

 

(Principal Executive Officer)

 

 

 

 

 

 

Date: June 12, 2013

 

 

 

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VIVUS, INC.

AMENDMENT NO. 2 TO ANNUAL REPORT ON FORM 10-K FOR

THE YEAR ENDED DECEMBER 31, 2012

 

EXHIBIT INDEX

 

Exhibit
Number

 

Description

 

 

 

 

2.2††

 

 

Asset Purchase Agreement dated October 1, 2010 between the Registrant, MEDA AB and Vivus Real Estate, LLC

 

31.5

 

 

Certification of Chief Executive Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934, as amended

 

31.6

 

 

Certification of Chief Financial Officer pursuant to Rules 13a-14 and 15d-14 promulgated under the Securities Exchange Act of 1934, as amended

 

††                                  Originally filed as Exhibit 10.26 with the Registrant’s Annual Report on Form 10-K for the fiscal year ended December 31, 2012 filed with the Commission on February 26, 2013. Schedules and similar attachments omitted pursuant to Item 601(b)(2) of Regulation S-K will be furnished to the Commission supplementally upon request. Confidential portions of this exhibit have been redacted and filed separately with the Commission pursuant to a confidential treatment request in accordance with Rule 24b-2 of the Securities Exchange Act of 1934, as amended.

 

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