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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Rule 13d-1 and 13d-2
Under the Securities Exchange Act of 1934
(Amendment No. 5)
Vivus, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
928551100
(CUSIP Number)
12/31/2012
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
| | Rule 13d-1 (b)
|X| Rule 13d-1 (c)
| | Rule 13d-1 (d)
* The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other provisions of the Act (however, see
the Notes).
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Caxton International Limited
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
British Virgin Islands
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
0
(7) Sole dispositive power:
0
(8) Shared dispositive power:
0
(9) Aggregate amount beneficially owned by each reporting person.
0
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
0%
(12) Type of reporting person (see instructions).
CO
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Caxton Advantage Life Sciences Fund, L.P.
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Delaware
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,551,185
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,551,185
(9) Aggregate amount beneficially owned by each reporting person.
1,551,185
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
1.54%
(12) Type of reporting person (see instructions).
PN
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Caxton Advantage Venture Partners, L.P.
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Delaware
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,551,185
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,551,185
(9) Aggregate amount beneficially owned by each reporting person.
1,551,185
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
1.54%
(12) Type of reporting person (see instructions).
PN
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Advantage Life Sciences Partners, LLC
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Delaware
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,551,185
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,551,185
(9) Aggregate amount beneficially owned by each reporting person.
1,551,185
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
1.54%
(12) Type of reporting person (see instructions).
OO
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
CHHA LLC
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Delaware
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,551,185
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,551,185
(9) Aggregate amount beneficially owned by each reporting person.
1,551,185
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
1.54%
(12) Type of reporting person (see instructions).
OO
1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Caxton Health Holdings LLC
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Delaware
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,551,185
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,551,185
(9) Aggregate amount beneficially owned by each reporting person.
1,551,185
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
1.54%
(12) Type of reporting person (see instructions).
OO
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Roberts, Eric
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
United States
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,551,185
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,551,185
(9) Aggregate amount beneficially owned by each reporting person.
1,551,185
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
1.54%
(12) Type of reporting person (see instructions).
IN
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Leheny, A. Rachel
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
United States
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,551,185
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,551,185
(9) Aggregate amount beneficially owned by each reporting person.
1,551,185
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
1.54%
(12) Type of reporting person (see instructions).
IN
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Caxton Associates LP
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
Delaware
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,551,185
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,551,185
(9) Aggregate amount beneficially owned by each reporting person.
1,551,185
(10)Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11)Percent of class represented by amount in Row 9.
1.54%
(12)Type of reporting person (see instructions).
IA
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Law, Andrew E.
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
United Kingdom
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
0
(7) Sole dispositive power:
0
(8) Shared dispositive power:
0
(9) Aggregate amount beneficially owned by each reporting person.
0
(10)Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11)Percent of class represented by amount in Row 9.
0%
(12)Type of reporting person (see instructions).
IN
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
KFO Holdings LLC
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
United States
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
737,403
(7) Sole dispositive power:
0
(8) Shared dispositive power:
737,403
(9) Aggregate amount beneficially owned by each reporting person.
737,403
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
.73%
(12) Type of reporting person (see instructions).
OO
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Caxton Corporation
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
United States
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
2,288,588
(7) Sole dispositive power:
0
(8) Shared dispositive power:
2,288,588
(9) Aggregate amount beneficially owned by each reporting person.
2,288,588
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
2.28%
(12) Type of reporting person (see instructions).
CO
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
Kovner, Bruce
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
United States
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
682,647
(6) Shared voting power:
3,706,538
(7) Sole dispositive power:
682,647
(8) Shared dispositive power:
3,706,538
(9) Aggregate amount beneficially owned by each reporting person.
4,389,185
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
4.36%
(12) Type of reporting person (see instructions).
IN
(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
BSK 2012 Investment Trust C
(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|X|
(3) SEC use only.
(4) Citizenship or place of organization.
United States
Number of shares beneficially owned by each reporting person with:
(5) Sole voting power:
0
(6) Shared voting power:
1,417,950
(7) Sole dispositive power:
0
(8) Shared dispositive power:
1,417,950
(9) Aggregate amount beneficially owned by each reporting person.
0
(10) Check if the aggregate amount in Row (9) excludes certain shares |_|
(see instructions).
(11) Percent of class represented by amount in Row 9.
1.41%
(12) Type of reporting person (see instructions).
OO
Item 1(a). Name of Issuer:
Vivus, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
1172 Castro Street
Suite 200
Mountain View, CA 94040
Item 2(a). Name of Person Filing:
(i) Caxton International Limited ("Caxton International").
(ii) Caxton Advantage Life Sciences Fund, L.P. ("Caxton Advantage").
(iii) Caxton Advantage Venture Partners, L.P. ("Caxton Advantage
Venture"). Caxton Advantage Venture is the Managing General Partner
of Caxton Advantage. As a result of the foregoing, Caxton
Advantage Venture may be deemed to have voting and dispositive
power with respect to the securities of the Issuer owned by
Caxton Advantage.
(iv) Advantage Life Sciences Partners, LLC ("Advantage Partners").
Advantage Partners is the Managing General Partner of Caxton
Advantage Venture. As a result of the foregoing, Advantage Partners
may be deemed to have voting and dispositive power with respect to
the securities of the Issuer owned by Caxton Advantage.
(v) CHHA LLC ("CHHA"). CHHA is the Administrative General Partner of
Caxton Advantage Venture. As a result of the foregoing, CHHA may be
deemed to have voting and dispositive power with respect to the
securities of the Issuer owned by Caxton Advantage.
(vi) Caxton Health Holdings LLC ("Caxton Health"). Caxton Health is the
Managing Member of CHHA. As a result of the foregoing, Caxton Health may
be deemed to have voting and dispositive power with respect to the
securities of the Issuer owned by Caxton Advantage.
(vii) Mr. Eric W. Roberts. Mr. Roberts is a Principal of Advantage
Partners and therefore may be deemed to have voting and dispositive power
with respect to the securities of the Issuer owned by Caxton Advantage.
(viii)Ms. A. Rachel Leheny. Ms. Leheny is a Principal of Advantage
Partners and therefore may be deemed to have voting and dispositive power
with respect to the securities of the Issuer owned by Caxton Advantage.
(ix) Caxton Associates LP ("Caxton Associates"). Caxton Associates is
the trading advisor to Caxton International and as such, has voting
and dispositive power with respect to the investments of Caxton
International. Caxton Associates may also be deemed to
have beneficial ownership with respect to the investments of Caxton
Advantage through it's ownership of Caxton Health and CHHA.
(x) Mr. Andrew E. Law. Mr. Law is the Chairman and Chief Executive
Officer of Caxton Associates. As a result of the foregoing, Mr. Law
may be deemed to have voting and dispositive power with respect to
the securities of the Issuer owned by Caxton International.
(xi) KFO Holdings LLC ("KFO").
(xii) Caxton Corporation. Caxton Corporation is the Manager of KFO. As a
result of the foregoing, Caxton Corporation may be deemed to have voting
and dispositive power with respect to the securities of the Issuer owned
by KFO. Caxton Corporation also serves as the Legacy Manager of
Caxton Associates. As a result of the foregoing, Caxton Corporation may
be deemed to have voting and dispositive power with respect to the
securities of the Issuer owned by Caxton Advantage.
(xiii)Mr. Bruce S Kovner. Mr. Kovner is the sole shareholder of Caxton
Corporation. As such, Mr. Kovner may be deemed to beneficially own the
securities of the Issuer owned by KFO and Caxton Advantage. Mr. Kovner
may be deemed to have voting and dispositive power with respect to
the securities of the Issuer owned by BSK 2012 Investment Trust C.
(xiv) BSK 2012 Investment Trust C ("BSK").
Item 2(b). Address or Principal Business Office or, If None, Residence:
(i) The address of Caxton International is Maples Corporate Services
(BVI) Ltd. Kingston Chambers, P.O. Box 173, Road Town, Tortola, B.V.I.
(ii) The address of Caxton Advantage is 500 Park Avenue, New York,
NY 10022.
(iii) The address of Caxton Advantage Venture is 500 Park Avenue,
New York, NY 10022.
(iv) The address of Advantage Partners is 500 Park Avenue, New York,
NY 10022.
(v) The address of CHHA is 500 Park Avenue, New York, NY 10022.
(vi) The address of Caxton Health is 500 Park Avenue,
New York, NY 10022.
(vii) The business address of Mr. Roberts is 500 Park Avenue,
New York, NY 10022.
(viii)The business address of Ms. Leheny is 500 Park Avenue, New York,
NY 10022.
(ix) The address of Caxton Associates is Princeton Plaza, Building 2,
731 Alexander Road, Princeton, NJ 08540.
(x) The address for Mr. Law is 500 Park Avenue, New York, NY 10022.
(xi) The address of KFO Holdings LLC is Princeton Plaza, Building 2,
731 Alexander Road, Princeton, NJ 08540.
(xii) The address of Caxton Corporation is Princeton Plaza, Building 2,
731 Alexander Road, Princeton, NJ 08540.
(xiii)The business address of Mr. Kovner is 500 Park Avenue,
New York, NY 10022.
(xiv) The address of BSK is Princeton Plaza,Building 2,
731 Alexander Road, Princeton, NJ 08540.
Item 2(c). Citizenship:
(i) Caxton International is a British Virgin Islands corporation.
(ii) Caxton Advantage is a Delaware limited partnership.
(iii) Caxton Advantage Venture is a Delaware limited partnership.
(iv) Advantage Partners is a Delaware limited liability company.
(v) CHHA is a Delaware limited liability company.
(vi) Caxton Health is a Delaware limited liability company.
(vii) Mr. Roberts is a United States citizen.
(viii)Ms. Leheny is a United States citizen.
(ix) Caxton Associates is a Delaware limited partnership.
(x) Mr. Law is a citizen of the United Kingdom.
(xi) KFO Holdings LLC is a Delaware limited liability company.
(xii) Caxton Corporation is a Delaware Corporation.
(xiii)Mr. Kovner is a United States citizen.
(xiv) BSK is a Trust governed by the laws of the State of New York.
Item 2(d). Title of Class of Securities:
Common Stock
Item 2(e). CUSIP No.:
928551100
Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or
(c), Check Whether the Person Filing is a:
Not Applicable
If this statement is filed pursuant to Rule 13d-1(c), check this box. |X|
Item 4. Ownership
(a) Amount beneficially owned:
(i) The amount of shares of Common Stock beneficially owned by
Caxton International is 0.
(ii) The amount of shares of Common Stock beneficially owned by
Caxton Advantage is 1,551,185.
(iii) The amount of shares of Common Stock that could be deemed to be
beneficially owned by Caxton Advantage Venture by reason of
its voting and dispositive power with respect to Caxton Advantage
is 1,551,185.
(iv) The amount of shares of Common Stock that could be deemed to be
beneficially owned by Advantage Partners by reason of its voting
and dispositive power with respect to Caxton Advantage is 1,551,185.
(v) The amount of shares of Common Stock that could be deemed to be
beneficially owned by CHHA by reason of its voting and dispositive
power with respect to Caxton Advantage is 1,551,185.
(vi) The amount of shares of Common Stock that could be deemed to be
beneficially owned by Caxton Health by reason of its voting and
dispositive power with respect to Caxton Advantage is 1,551,185.
(vii) The amount of shares of Common Stock that could be deemed to be
beneficially owned by Mr. Roberts by reason of his voting and
dispositive power with respect to Caxton Advantage is 1,551,185.
(viii)The amount of shares of Common Stock that could be deemed to be
beneficially owned by Ms. Leheny by reason of her voting and
dispositive power with respect to Caxton Advantage is 1,551,185.
(ix) The amount of shares of Common Stock that could be deemed to be
beneficially owned by Caxton Associates by reason of its voting
and dispositive power with respect to Caxton Advantage is 1,551,185.
(x) The amount of shares of Common Stock that could be deemed to be
beneficially owned by Mr. Law by reason of his voting and dispositive
power with respect to Caxton International is 0.
(xi) The amount of shares of Common Stock beneficially owned by
KFO is 737,403.
(xii) The amount of shares of Common Stock that could be deemed to be
beneficially owned by Caxton Corporation by reason of its voting and
dispositive power with respect to KFO and Caxton Advantage is 2,288,588.
(xiii)The amount of shares of common stock that could be deemed to be
beneficially owned by Mr. Kovner by reason of his voting and
dispositive power with respect to KFO, Caxton Advantage and BSK
is 3,706,538. In addition, Mr. Kovner directly owns 682,647 shares
of Common Stock in the Issuer.
(xiv) The amount of shares of Common Stock beneficially owned by BSK
is 1,417,950.
Caxton International, Caxton Advantage, KFO, BSK and Mr. Bruce Kovner
may be deemed to be acting as a group, however, each disclaims beneficial
ownership of the shares beneficially owned by the others.
(b) Percent of class:
(i) Caxton International beneficially owns 0% of the Class
of Common Stock.
(ii) Caxton Advantage beneficially owns 1.54% of the Class
of Common Stock.
(iii) Caxton Advantage Venture may be deemed to beneficially own
1.54% of the Class of Common Stock.
(iv) Advantage Partners may be deemed to beneficially own 1.54% of the
Class of Common Stock.
(v) CHHA may be deemed to beneficially own 1.54% of the Class of
Common Stock.
(vi) Caxton Health may be deemed to beneficially own 1.54% of
the Class of Common Stock.
(vii) Mr. Roberts may be deemed to beneficially own 1.54% of the Class of
Common Stock.
(viii)Ms. Leheny may be deemed to beneficially own 1.54% of the Class of
Common Stock.
(ix) Caxton Associates may be deemed to beneficially own 1.54% of the
Class of Common Stock.
(x) Mr. Law may be deemed to beneficially own 0% of the Class of
Common Stock.
(xi) KFO beneficially owns 0.73% of the Class of Common Stock.
(xii) Caxton Corporation may be deemed to beneficially own 2.28% of the
Class of Common Stock.
(xiii)Mr. Kovner may be deemed to beneficially own 3.68% of the Class of
Common Stock and owns .68% of the class of Common Stock; for an
aggregate of 4.36% of the Class of Common Stock.
(xiv) BSK beneficially owns 1.41% of the Class of Common Stock.
(c) Number of shares as to which Caxton International has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition: 0
(iv) Shared power to dispose or to direct the disposition
of: 0
Number of shares as to which Caxton Advantage has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,551,185
(iii) Sole power to dispose or to direct the disposition: 0
(iv) Shared power to dispose or to direct the disposition
of: 1,551,185
Number of shares as to which Caxton Advantage Venture has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,551,185
(iii) Sole power to dispose or to direct the disposition: 0
(iv) Shared power to dispose or to direct the disposition
of: 1,551,185
Number of shares as to which Advantage Partners has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,551,185
(iii) Sole power to dispose or to direct the disposition: 0
(iv) Shared power to dispose or to direct the disposition
of: 1,551,185
Number of shares as to which CHHA has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,551,185
(iii) Sole power to dispose or to direct the disposition: 0
(iv) Shared power to dispose or to direct the disposition
of: 1,551,185
Number of shares as to which Caxton Health has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,551,185
(iii) Sole power to dispose or to direct the disposition: 0
(iv) Shared power to dispose or to direct the disposition
of: 1,551,185
Number of shares as to which Mr. Roberts has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,551,185
(iii) Sole power to dispose or to direct the disposition: 0
(iv) Shared power to dispose or to direct the disposition
of: 1,551,185
Number of shares as to which Ms. Leheny has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,551,185
(iii) Sole power to dispose or to direct the disposition: 0
(iv) Shared power to dispose or to direct the disposition
of: 1,551,185
Number of shares as to which Caxton Associates has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,551,185
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition
of: 1,551,185
Number of shares as to which Mr.Law has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 0
(iii) Sole power to dispose or to direct the disposition of:
0
(iv) Shared power to dispose or to direct the disposition
of: 0
Number of shares as to which KFO Holdings LLC has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 737,403
(iii) Sole power to dispose or to direct the disposition of:
0
(iv) Shared power to dispose or to direct the disposition
of: 737,403
Number of shares as to which Caxton Corporation has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 2,288,588
(iii) Sole power to dispose or to direct the disposition of:
0
(iv) Shared power to dispose or to direct the disposition
of: 2,288,588
Number of shares as to which Mr. Kovner has:
(i) Sole power to vote or to direct the vote: 682,647
(ii) Shared power to vote or to direct the vote: 3,706,538
(iii) Sole power to dispose or to direct the disposition of:
682,647
(iv) Shared power to dispose or to direct the disposition
of: 3,706,538
Number of shares as to which BSK 2012 Investment Trust C has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 1,417,950
(iii) Sole power to dispose or to direct the disposition of:
0
(iv) Shared power to dispose or to direct the disposition
of: 1,417,950
Item 5. Ownership of 5 Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the Class of securities, check the following [X].
Item 6. Ownership of More than 5 Percent on Behalf of Another Person.
Not Applicable
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on by the Parent Holding Company or Control
Person.
Not Applicable
Item 8. Identification and Classification of Members of the Group.
Not Applicable
Item 9. Notice of Dissolution of Group.
Not Applicable
Item 10. Certifications
By signing below, I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not
held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction
having that purpose or effect.
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct
with respect to the information that is applicable to me.
Date: 2/14/2013 Caxton International Limited
/s/ Joseph Kelly
Name: Joseph Kelly
Title: Vice President and Treasurer
/s/ Maxwell Quin
Name: Maxwell Quin
Title: Vice President and Secretary
Caxton Advantage Life Sciences
Fund, L.P.
/s/ Eric W. Roberts
Name: Eric W. Roberts
Title: Principal, Advantage Life Sciences
Partners, LLC, Managing General
Partner, Caxton Advantage Venture
Partners, L.P., Managing General Partner,
Caxton Advantage Life Sciences Fund,
L.P.
Caxton Advantage Venture
Partners, L.P.
/s/ Eric W. Roberts
Name: Eric W. Roberts
Title: Principal, Advantage Life Sciences
Partners, LLC, Managing General
Partner, Caxton Advantage Venture
Partners, L.P.
Advantage Life Sciences Partners, LLC
/s/ Eric W. Roberts
Name: Eric W. Roberts
Title: Principal
CHHA LLC
/s/ Scott B. Bernstein
Name: Scott B. Bernstein
Title: Secretary
Caxton Health Holdings LLC
/s/ Scott B. Bernstein
Name: Scott B. Bernstein
Title: Secretary
/s/ Eric W. Roberts
Name: Eric W. Roberts
Title: Principal, Advantage Life Sciences
Partners, LLC
/s/ A. Rachel Leheny
Name: Rachel Leheny
Title: Principal, Advantage Life Sciences
Partners, LLC
Caxton Associates LP
Name: Scott B. Bernstein
Title: Secretary
/s/ Andrew E. Law
Name: Andrew E. Law
Title: Signed by
Ajay Mehra
as Attorney-In-Fact
KFO Holdings LLC
/s/ Karen Cross
Name: Karen Cross
Title: Vice President and Controller of Caxton Corporation,
Manager of KFO Holdings LLC
Caxton Corporation
/s/ Karen Cross
Name: Karen Cross
Title: Vice President and Controller
BSK 2012 Investment Trust C
/s/ Karen Cross
Name: Karen Cross
Title: Vice President and Treasurer of Cadence Trust
Company, Trustee of BSK 2012 Investment Trust C
/s/ Bruce S. Kovner
Name: Bruce S. Kovner
Title: signed by Heath N. Weisberg
as Attorney-in-Fact
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is
signed on behalf of a person by his authorized representative other than
an executive officer or general partner of the filing person, evidence of
the representative's authority to sign on behalf of such person shall be
filed with the statement, provided, however, that a power of attorney for
this purpose which is already on file with the Commission may be
incorporated by reference. The name and any title of each person who signs
the statement shall be typed or printed beneath his signature.
ATTENTION: Intentional misstatements or omissions of fact constitute Federal
criminal violations (see 18 U.S.C. 1001). (Secs. 3(b), 13(d)(1), 13(d)(2),
13(d)(5), 13(d)(6), 13(g)(1), 13(g)(2), 13(g)(5), 23, 48 Stat. 882, 894, 901;
sec. 203(a), 49 Stat. 704; sec. 8, 49 Stat. 1379; sec. 10, 78 Stat. 88a; sec.
2, 82 Stat. 454; secs. 1, 2, 84 Stat. 1497; secs. 3, 10, 18, 89 Stat. 97, 119,
155; secs. 202, 203, 91 Stat. 1494, 1498, 1499; (15 U.S.C. 78c(b), 78m(d)(1),
78m(d)(2), 78m(d)(5), 78m(d)(6), 78m(g)(1), 78m(g)(2), 78m(g)(5), 78w)) [43 FR
18499, Apr. 28, 1978, as amended at 43 FR 55756, Nov. 29, 1978; 44 FR 2148,
Jan. 9, 1979; 44 FR 11751, Mar. 2, 1979; 61 FR 49959, Sept. 24, 1996; 62 FR
35340, July 1, 1997; 63 FR 2867, Jan. 16, 1998; 63 FR 15287, Mar. 31, 1998]
Certification
The undersigned hereby certifies that the shares of Vivus, Inc.
purchased and/or owned on behalf of Caxton International Limited,
Caxton Advantage Life Sciences Fund, L.P., KFO Holdings LLC,
BSK 2012 Investment Trust C and the shares owned by Mr. Kovner
were not acquired and are not being held for the purpose of or
with the effect of changing or influencing the control of the issuer
of such securities and were not acquired and are not held in
connection with or as a participant in any transaction having
that purpose or effect.
Date: 2/14/2013 Caxton International Limited
/s/ Joseph Kelly
Name: Joseph Kelly
Title: Vice President and Treasurer
/s/ Maxwell Quin
Name: Maxwell Quin
Title: Vice President and Secretary
Caxton Advantage Life Sciences
Fund, L.P.
/s/ Eric W. Roberts
Name: Eric W. Roberts
Title: Principal, Advantage Life Sciences
Partners, LLC, Managing General
Partner, Caxton Advantage Venture
Partners, L.P., Managing General Partner,
Caxton Advantage Life Sciences Fund,
L.P.
Caxton Advantage Venture
Partners, L.P.
/s/ Eric W. Roberts
Name: Eric W. Roberts
Title: Principal, Advantage Life Sciences
Partners, LLC, Managing General
Partner, Caxton Advantage Venture
Partners, L.P.
Advantage Life Sciences Partners, LLC
/s/ Eric W. Roberts
Name: Eric W. Roberts
Title: Principal
CHHA LLC
/s/ Scott B. Bernstein
Name: Scott B. Bernstein
Title: Secretary
Caxton Health Holdings LLC
/s/ Scott B. Bernstein
Name: Scott B. Bernstein
Title: Secretary
/s/ Eric W. Roberts
Name: Eric W. Roberts
Title: Principal, Advantage Life Sciences
Partners, LLC
/s/ A. Rachel Leheny
Name: Rachel Leheny
Title: Principal, Advantage Life Sciences
Partners, LLC
Caxton Associates LP
Name: Scott B. Bernstein
Title: Secretary
/s/ Andrew E. Law
Name: Andrew E. Law
Title: Signed by
Ajay Mehra
as Attorney-In-Fact
KFO Holdings LLC
/s/ Karen Cross
Name: Karen Cross
Title: Vice President and Controller of Caxton Corporation,
Manager of KFO Holdings LLC
Caxton Corporation
/s/ Karen Cross
Name: Karen Cross
Title: Vice President and Controller
BSK 2012 Investment Trust C
/s/ Karen Cross
Name: Karen Cross
Title: Vice President and Treasurer of Cadence Trust
Company, Trustee of BSK 2012 Investment Trust C
/s/ Bruce S. Kovner
Name: Bruce S. Kovner
Title: signed by Heath N. Weisberg
as Attorney-in-Fact