SEC Form 4 · accession 0001209191-19-001571
Viking Therapeutics, Inc. · VKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hiroko Masamune
Officer — Chief Development Officer
Period of report
Jan 3, 2019
Accepted (ET)
Jan 3, 2019 · 8:33 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 3, 2019 | A | 22,667 | $0.00 | A | 141,063 | 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 | $7.58 | Jan 3, 2019 | A | 66,000 | A | Jan 3, 2020 | Jan 3, 2029 | Common Stock | 66,000 | 66,000 | D |
Explanation of responses
- F1Represents a restricted stock unit award ("RSU") of common stock under the Issuer's 2014 Equity Incentive Plan. 25% of the shares subject to the RSU shall vest on each one year anniversary of the grant date of the award.
- F2Includes 7,199 shares acquired on November 20, 2018 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.