Statement of Changes in Beneficial Ownership (4)
September 16 2020 - 5:22PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
MORNEAU MICHAEL |
2. Issuer Name and Ticker or Trading Symbol
Viking Therapeutics, Inc.
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VKTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP, Finance and Administration |
(Last)
(First)
(Middle)
C/O VIKING THERAPEUTICS, INC., 12340 EL CAMINO REAL, SUITE 250 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/15/2020 |
(Street)
SAN DIEGO, CA 92130
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 9/15/2020 | | A | | 4500 (1) | A | $0.00 | 99430 (2) | D | |
Common Stock | 9/15/2020 | | F | | 1557 (3) | D | $6.25 | 97873 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The reported securities were subject to a performance restricted stock unit award that was granted on January 3, 2020, 33.33% of which vested on September 15, 2020 upon the achievement of a non-financial performance goal. |
(2) | Includes 2,090 shares acquired on May 20, 2020 pursuant to the Issuer's 2014 Employee Stock Purchase Plan. |
(3) | These shares were withheld by the Issuer in order to satisfy certain tax withholding obligations in connection with the issuance of shares upon
the vesting of certain shares of common stock subject to a performance restricted stock unit award. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MORNEAU MICHAEL C/O VIKING THERAPEUTICS, INC. 12340 EL CAMINO REAL, SUITE 250 SAN DIEGO, CA 92130 |
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| VP, Finance and Administration |
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Signatures
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/s/ Michael Morneau | | 9/16/2020 |
**Signature of Reporting Person | Date |
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