SEC Form 4 · accession 0001209191-18-004973
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
Jan 19, 2018
Accepted (ET)
Jan 23, 2018 · 5:42 pm EST
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 shareF1,F2 | Jan 19, 2018 | A | 15,000 | $0.00 | A | 101,651 | 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 | $4.65 | Jan 19, 2018 | A | 52,500 | A | Jan 19, 2019 | Jan 19, 2028 | Common Stock | 52,500 | 52,500 | D |
Explanation of responses
- F1Represents a restricted stock unit award ("RSU") of common stock under the Issuer's 2014 Equity Incentive Plan. One-third of the shares subject to the RSU shall vest on each one year anniversary of the grant date of the award.
- F2Includes 3,004 shares acquired on May 19, 2017 pursuant to the Issuer's 2014 Employee Stock Purchase Plan and 3,043 shares acquired on November 20, 2017 pursuant to the Issuer's 2014 Employee Stock Purchase Plan.
- F325% of the shares subject to the option will vest on each anniversary of the grant date.