SEC Form 4 · accession 0001209191-15-039610
Viking Therapeutics, Inc. · VKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Morneau
Officer — Chief Financial Officer
Period of report
May 4, 2015
Accepted (ET)
May 6, 2015 · 7:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001607678
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.00001 per share | May 4, 2015 | A | 67,000 | $0.00 | A | 67,000 | D | |
| Common Stock, par value $0.00001 per share | May 4, 2015 | F | 10,404 | $9.49 | A | 77,404 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $9.49 | May 4, 2015 | A | 25,500 | A | May 4, 2015 | May 4, 2025 | Common Stock | 25,500 | 25,500 | D |
Explanation of responses
- F1Represents a restricted stock award of common stock under the Issuer's 2014 Equity Incentive Plan. One third of the shares subject to the restricted stock award shall vest on each one year anniversary of the grant date of the award.
- F2Represents a restricted stock award of 17,292 shares of common stock granted under the Issuer's 2014 Equity Incentive Plan. All of the shares subject to the restricted stock award vested immediately upon grant. In order to satisfy certain tax withholding obligations, the Issuer repurchased 6,888 of these shares from the Reporting Person.
- F325% of the shares subject to the option were vested upon grant and 25% of the shares subject to the option will vest on each one year anniversary of the grant date.