Amended Statement of Ownership (sc 13g/a)
January 04 2018 - 4:16PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C.
20549
SCHEDULE
13G
UNDER
THE SECURITIES EXCHANGE ACT OF 1934
(Amendment
No. 1)
Viking
Therapeutics, Inc.
(Name
of Issuer)
|
Common
Stock, $0.00001 par value
|
|
(Title
of Class of Securities)
|
|
|
|
92686J
106
|
|
(CUSIP
Number)
|
|
|
|
December
31, 2017
|
|
(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 the 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).
|
CUSIP
No. 92686J 106
|
SCHEDULE
13G
|
Page
2 of 9 Pages
|
|
(1)
|
Names
of reporting persons
PoC
Capital, LLC
|
|
(2)
|
Check
the appropriate box if a member of a group (see instructions)*
(a)
[ ] (b) [ ]
|
|
(3)
|
SEC
use only
|
|
(4)
|
Citizenship
or place of organization
California
|
|
Number
of
shares
beneficially
owned
by
each
reporting
person
with
|
(5)
|
Sole
voting power
26,087
(1)
|
|
(6)
|
Shared
voting power
0
|
|
(7)
|
Sole
dispositive power
26,087
(1)
|
|
(8)
|
Shared
dispositive power
0
|
|
(9)
|
Aggregate
amount beneficially owned by each reporting person
26,087
(1)
|
|
(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%
(2)
|
|
(12)
|
Type
of reporting person (see instructions)
OO
|
|
(1)
|
Represents
shares of common stock issuable upon the exercise of outstanding warrants.
|
|
(2)
|
Based
on 35,060,283 shares of common stock outstanding on December 19, 2017, as disclosed by the Issuer in its Registration Statement
on Form S-1 filed December 20, 2017, plus 26,087 shares of common stock issuable upon the exercise of warrants held by the
Reporting Person.
|
|
CUSIP
No. 92686J 106
|
SCHEDULE
13G
|
Page
3 of 9 Pages
|
|
(1)
|
Names
of reporting persons
The
Evans Family Trust, dated January 28, 2016
|
|
(2)
|
Check
the appropriate box if a member of a group (see instructions)*
(a)
[ ] (b) [ ]
|
|
(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
26,087
(1)
|
|
(6)
|
Shared
voting power
0
|
|
(7)
|
Sole
dispositive power
26,087
(1)
|
|
(8)
|
Shared
dispositive power
0
|
|
(9)
|
Aggregate
amount beneficially owned by each reporting person
26,087
(1)
|
|
(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%
(2)
|
|
(12)
|
Type
of reporting person (see instructions)
OO
|
|
(1)
|
Represents
shares of common stock issuable upon the exercise of outstanding warrants.
|
|
(2)
|
Based
on 35,060,283 shares of common stock outstanding on December 19, 2017, as disclosed by the Issuer in its Registration Statement
on Form S-1 filed December 20, 2017, plus 26,087 shares of common stock issuable upon the exercise of warrants held by the
Reporting Person.
|
|
CUSIP
No. 92686J 106
|
SCHEDULE
13G
|
Page
4 of 9 Pages
|
|
(1)
|
Names
of reporting persons
Daron
Evans
|
|
(2)
|
Check
the appropriate box if a member of a group (see instructions)*
(a)
[ ] (b) [ ]
|
|
(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
26,087
(1)
|
|
(6)
|
Shared
voting power
0
|
|
(7)
|
Sole
dispositive power
26,087
(1)
|
|
(8)
|
Shared
dispositive power
0
|
|
(9)
|
Aggregate
amount beneficially owned by each reporting person
26,087
(1)
|
|
(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%
(2)
|
|
(12)
|
Type
of reporting person (see instructions)
IN
|
|
(1)
|
Represents
shares of common stock issuable upon the exercise of outstanding warrants.
|
|
(2)
|
Based
on 35,060,283 shares of common stock outstanding on December 19, 2017, as disclosed by the Issuer in its Registration Statement
on Form S-1 filed December 20, 2017, plus 26,087 shares of common stock issuable upon the exercise of warrants held by the
Reporting Person.
|
|
CUSIP
No. 92686J 106
|
SCHEDULE
13G
|
Page
5 of 9 Pages
|
|
(1)
|
Names
of reporting persons
Sarah
Evans
|
|
(2)
|
Check
the appropriate box if a member of a group (see instructions)*
(a)
[ ] (b) [ ]
|
|
(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
26,087
(1)
|
|
(6)
|
Shared
voting power
0
|
|
(7)
|
Sole
dispositive power
26,087
(1)
|
|
(8)
|
Shared
dispositive power
0
|
|
(9)
|
Aggregate
amount beneficially owned by each reporting person
26,087
(1)
|
|
(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%
(2)
|
|
(12)
|
Type
of reporting person (see instructions)
IN
|
|
(1)
|
Represents
shares of common stock issuable upon the exercise of outstanding warrants.
|
|
(2)
|
Based
on 35,060,283 shares of common stock outstanding on December 19, 2017, as disclosed by the Issuer in its Registration Statement
on Form S-1 filed December 20, 2017, plus 26,087 shares of common stock issuable upon the exercise of warrants held by the
Reporting Person.
|
|
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 Persons Filing:
|
PoC
Capital, LLC
The
Evans Family Trust, dated January 28, 2016
Daron
Evans
Sarah
Evans
PoC
Capital, LLC (“
PoC
”), The Evans Family Trust, dated January 28, 2016 (“
Evans Trust
”), Daron
Evans (“
D. Evans
”) and Sarah Evans (“
S. Evans
”) are jointly filing this Statement of Beneficial
Ownership on Schedule 13G to report their beneficial ownership of 26,087 shares of common stock of the Issuer issuable upon the
exercise of outstanding warrants (the “
Shares
”). PoC holds all of such Shares directly. PoC is 100% owned by
the Evans Trust, and D. Evans and S. Evans are the trustees of the Evans Trust. D. Evans is also the Managing Director of PoC
and may be deemed to have beneficial ownership of the Shares by virtue of his position.
|
Item
2(b)
|
Address
of Principal Business Office or, if None, Residence:
|
2995
Woodside Rd., Suite 400-121, Woodside, CA 94062, Attn: Daron Evans
|
PoC:
|
|
California
|
|
Evans
Trust:
|
|
United
States
|
|
D.
Evans:
|
|
United
States
|
|
S.
Evans:
|
|
United
States
|
|
Item
2(d)
|
Title
of Class of Securities:
|
Common
Stock, $0.00001 par value
92686J
106
|
Item
3
|
If
this statement is filed pursuant to §§ 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is
a:
|
|
|
(a)
|
[ ]
|
Broker
or dealer registered under Section 15 of the Act.
|
|
|
|
|
|
|
|
(b)
|
[ ]
|
Bank
as defined in Section 3(a)(6) of the Act.
|
|
|
|
|
|
|
|
(c)
|
[ ]
|
Insurance
company as defined in Section 3(a)(19) of the Act.
|
|
|
|
|
|
|
|
(d)
|
[ ]
|
Investment
company registered under Section 8 of the Investment Company Act of 1940.
|
|
|
|
|
|
|
|
(e)
|
[ ]
|
An
investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).
|
|
|
(f)
|
[ ]
|
An
employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F).
|
|
|
|
|
|
|
|
(g)
|
[ ]
|
A
parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G).
|
|
|
|
|
|
|
|
(h)
|
[ ]
|
A
savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
|
|
|
|
|
|
|
|
(i)
|
[ ]
|
A
church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company
Act.
|
|
|
|
|
|
|
|
(j)
|
[ ]
|
A
non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).
|
|
|
|
|
|
|
|
(k)
|
[ ]
|
Group,
in accordance with § 240.13d-1(b)(1)(ii)(K).
|
|
|
|
|
|
|
|
|
|
If
filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
|
The
information set forth in Items 5 through 11 of the cover pages of each of PoC and Evans is incorporated herein by reference.
|
Item
5
|
Ownership
of Five 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 Five 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.
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.
|
Exhibits
|
Joint
Filing Agreement, dated January 4, 2018, by and between PoC Capital, LLC, The Evans Family Trust, dated January 28, 2016, Daron
Evans and Sarah Evans.
|
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.
|
Dated:
January 4, 2018
|
PoC
Capital, LLC
|
|
|
|
|
|
|
By:
|
/s/
Daron Evans
|
|
|
Name:
|
Daron
Evans
|
|
|
Title:
|
Managing
Director
|
|
|
|
|
|
Dated:
January 4, 2018
|
The
Evans Family Trust, dated January 28, 2016
|
|
|
|
|
|
|
By:
|
/s/
Daron Evans
|
|
|
Name:
|
Daron
Evans
|
|
|
Title:
|
Trustee
|
|
|
|
|
|
|
By:
|
/s/
Sarah Evans
|
|
|
Name:
|
Sarah
Evans
|
|
|
Title:
|
Trustee
|
|
|
|
|
|
Dated:
January 4, 2018
|
/s/
Daron Evan
s
|
|
|
Daron
Evans
|
|
|
|
|
|
Dated:
January 4, 2018
|
/s/
Sarah Evans
|
|
|
Sarah
Evans
|
EXHIBIT
1
JOINT
FILING AGREEMENT
In
accordance with the requirements of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and subject to the limitations
set forth therein, the parties set forth below agree to jointly file the Schedule 13G to which this joint filing agreement is
attached, along with any amendments thereto that may be required, and have duly executed this joint filing agreement as of the
date set forth below.
|
Dated:
January 4, 2018
|
PoC
Capital, LLC
|
|
|
|
|
|
|
By:
|
/s/
Daron Evans
|
|
|
Name:
|
Daron
Evans
|
|
|
Title:
|
Managing
Director
|
|
|
|
|
|
Dated:
January 4, 2018
|
The
Evans Family Trust, dated January 28, 2016
|
|
|
|
|
|
|
By:
|
/s/
Daron Evans
|
|
|
Name:
|
Daron
Evans
|
|
|
Title:
|
Trustee
|
|
|
|
|
|
|
By:
|
/s/
Sarah Evans
|
|
|
Name:
|
Sarah
Evans
|
|
|
Title:
|
Trustee
|
|
|
|
|
|
Dated:
January 4, 2018
|
/s/
Daron Evan
s
|
|
|
Daron
Evans
|
|
|
|
|
|
Dated:
January 4, 2018
|
/s/
Sarah Evans
|
|
|
Sarah
Evans
|
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