Initial Statement of Beneficial Ownership (3)
January 06 2021 - 4:20PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Mancini Marianna |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/4/2021
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3. Issuer Name and Ticker or Trading Symbol
Viking Therapeutics, Inc. [VKTX]
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(Last)
(First)
(Middle)
C/O VIKING THERAPEUTICS, INC., 12340 EL CAMINO REAL, SUITE 250 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Operating Officer / |
(Street)
SAN DIEGO, CA 92130
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.00001 per share | 94655 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | 3/31/2021 (2) | 3/31/2030 | Common Stock | 18000 | $4.68 | D | |
Stock Option (Right to Buy) | 1/3/2021 (3) | 1/3/2030 | Common Stock | 54000 | $7.77 | D | |
Stock Option (Right to Buy) | 10/31/2020 (4) | 10/31/2029 | Common Stock | 4000 | $6.47 | D | |
Stock Option (Right to Buy) | 7/31/2020 (5) | 7/31/2029 | Common Stock | 10000 | $7.69 | D | |
Stock Option (Right to Buy) | 1/15/2020 (6) | 1/15/2029 | Common Stock | 23100 | $8.52 | D | |
Stock Option (Right to Buy) | 8/31/2018 (7) | 8/31/2028 | Common Stock | 12500 | $13.07 | D | |
Stock Option (Right to Buy) | 3/30/2019 (8) | 3/30/2028 | Common Stock | 30000 | $4.37 | D | |
Stock Option (Right to Buy) | 1/19/2019 (9) | 1/19/2028 | Common Stock | 24500 | $4.65 | D | |
Stock Option (Right to Buy) | 8/31/2018 (10) | 8/31/2027 | Common Stock | 10000 | $1.04 | D | |
Stock Option (Right to Buy) | 6/30/2018 (11) | 6/30/2027 | Common Stock | 15000 | $1.08 | D | |
Stock Option (Right to Buy) | 1/5/2017 (12) | 1/5/2027 | Common Stock | 23054 | $1.23 | D | |
Stock Option (Right to Buy) | 1/5/2018 (13) | 1/5/2027 | Common Stock | 30000 | $1.23 | D | |
Stock Option (Right to Buy) | 6/30/2017 (14) | 6/30/2026 | Common Stock | 15000 | $1.26 | D | |
Stock Option (Right to Buy) | 3/14/2016 (15) | 3/14/2026 | Common Stock | 4873 | $1.88 | D | |
Stock Option (Right to Buy) | 3/4/2017 (16) | 3/4/2026 | Common Stock | 15000 | $2.15 | D | |
Stock Option (Right to Buy) | 5/21/2016 (17) | 5/21/2025 | Common Stock | 15000 | $9.13 | D | |
Explanation of Responses: |
(1) | Includes (a) 2,334 shares subject to a restricted stock unit award ("RSU") of common stock that was granted on January 19, 2018 under the Issuer's 2014 Equity Incentive Plan, of which one-third of the original 7,000 shares subject to the RSU vested or shall vest on each one year anniversary of the grant date of the award; (b) 5,950 shares subject to an RSU of common stock that was granted on January 15, 2019 under the Issuer's 2014 Equity Incentive Plan, of which 25% of the original 7,933 shares subject to the RSU vested or shall vest on each one year anniversary of the grant date of the award; and (c) 16,000 shares subject to an RSU of common stock that was granted on January 3, 2020 under the Issuer's 2014 Equity Incentive Plan, of which one-third of the original 24,000 shares subject to the RSU vested or shall vest on each one year anniversary of the grant date of the award. |
(2) | 25% of the shares subject to the option will vest on each one year anniversary of the grant date of March 31, 2020. |
(3) | 25% of the shares subject to the option vested or will vest on each one year anniversary of the grant date of January 3, 2020. |
(4) | 25% of the shares subject to the option vested or will vest on each one year anniversary of the grant date of October 31, 2019. |
(5) | One-third of the shares subject to the option vested or will vest on each one year anniversary of the grant date of July 31, 2019. |
(6) | 25% of the shares subject to the option vested or will vest on each one year anniversary of the grant date of January 15, 2019. |
(7) | One-third of the shares subject to the option vested on the grant date and one-third of the shares subject to the option vested on each one year anniversary of the grant date of August 31, 2018. |
(8) | One-third of the shares subject to the option vested or will vest on each one year anniversary of the grant date of March 30, 2018. |
(9) | 25% of the shares subject to the option vested or will vest on each one year anniversary of the grant date of January 19, 2018. |
(10) | 25% of the shares subject to the option vested or will vest on each one year anniversary of the grant date of August 31, 2017. |
(11) | 25% of the shares subject to the option vested or will vest on each one year anniversary of the grant date of June 30, 2017. |
(12) | The shares subject to the option vested on the grant date of January 5, 2017. |
(13) | 25% of the shares subject to the option vested or will vest on each one year anniversary of the grant date of January 5, 2017. |
(14) | 25% of the shares subject to the option vested on each one year anniversary of the grant date of June 30, 2016. |
(15) | The shares subject to the option vested on the grant date of March 14, 2016. |
(16) | 25% of the shares subject to the option vested on each one year anniversary of the grant date of March 4, 2016. |
(17) | 25% of the shares subject to the option vested on each one year anniversary of the grant date of May 21, 2015. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mancini Marianna C/O VIKING THERAPEUTICS, INC. 12340 EL CAMINO REAL, SUITE 250 SAN DIEGO, CA 92130 |
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| Chief Operating Officer |
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Signatures
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/s/ Michael Morneau, as Attorney-in-Fact | | 1/6/2021 |
**Signature of Reporting Person | Date |
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