Statement of Ownership (sc 13g)
December 19 2017 - 2:24PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
SCHEDULE
13G
UNDER
THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT
NO. __)
Viking
Therapeutics, Inc
(Name
of Issuer)
Common
Stock par value $0.00001 per share
(Title
of Class of Securities)
92686J106
(CUSIP
Number)
●
|
Check the appropriate box to designate the rule pursuant
to which this Schedule is filed:
|
☐
Rule 13d-1(b)
☐
Rule 13d-1(c)
☐
Rule 13d-1(d)
●
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*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 the disclosures provided in a prior cover page.
|
●
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The information required in 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).
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1
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NAMES
OF REPORTING PERSON
S.S.
OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
G.
Nicholas Farwell
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2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a)
☐
(b) ☐
|
3
|
SEC
USE ONLY
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
USA
|
5
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SOLE
VOTING POWER, NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON –
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6
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SHARED
VOTING POWER –
2,714,708
|
7
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SOLE
DISPOSITIVE POWER –
|
8
|
SHARED
DISPOSITIVE POWER
2,714,708
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON –
2,714,708
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.8%
(based on 34,776,864 shares of common stock outstanding on December 7, 2017 provided by the company)
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12
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TYPE
OF REPORTING PERSON
IN
|
ITEM
1 (a) NAME OF ISSUER: Viking Therapeutics, Inc
ITEM
1 (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
12340
El Camino Real, Suite 250, San Diego, CA 92130
ITEM 2 (a) NAME OF PERSON FILING: G. Nicholas Farwell
ITEM
2 (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
1240 Arbor Rd.
Menlo
Park, Ca. 94025
ITEM
2 (c) CITIZENSHIP:
USA
ITEM
2 (d) TITLE OF CLASS OF SECURITIES:
Common
Stock, par value $0.00001 per share
ITEM
2 (e) CUSIP NUMBER:
92686J106
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:
|
(a)
|
☐
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Broker or dealer registered under Section 15 of the Exchange Act.
|
|
(b)
|
☐
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Bank
as defined in Section 3(a)(6) of the Exchange Act.
|
|
(c)
|
☐
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Insurance
Company defined in Section 3(a)(19) of the Exchange Act.
|
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(d)
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☐
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Investment Company registered under Section 8 of the Investment Company Act.
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(e)
|
☐
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An
Investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E)
|
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(f)
|
☐
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An
employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(ii)(F)
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(g)
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☐
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A
parent holding company or control person in accordance Rule 13d-1(b)(1)(ii)(G)
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(h)
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☐
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A
savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.
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(i)
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☐
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A
church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
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(j)
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☐
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Group,
in accordance with Rule 13d-1(b)(1)(ii)(J)
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ITEM
4 OWNERSHIP
(a)
AMOUNT BENEFICIALLY OWNED: 2,714,708
(b)
PERCENT OF CLASS: 7.8%
(c)
NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:
(i)
SOLE POWER TO VOTE OR DIRECT THE VOTE
(ii)SHARED POWER TO VOTE OR DIRECT THE VOTE: 2,714,708
(iii)
SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF:
(iv)
SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: 2,714,708
ITEM
5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
ITEM
6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
ITEM
7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY
ITEM
8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF A GROUP
ITEM
9 NOTICE OF DISSOLUTION OF GROUP
ITEM 10. CERTIFICATION.
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the
ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing
the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction
having such purposes or effect
SIGNATURE
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.
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12/15/17
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(Date)
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/s/
G. Nicholas Farwell
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3
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