Statement of Changes in Beneficial Ownership (4)
January 06 2021 - 4:38PM
Edgar (US Regulatory)
FORM 4
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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)
1/4/2021 |
(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, par value $0.00001 per share | 1/4/2021 | | A | | 14667 (1) | A | $0.00 | 113819 (2) | D | |
Common Stock, par value $0.00001 per share | 1/4/2021 | | A | | 6667 (3) | A | $0.00 | 120486 | D | |
Common Stock, par value $0.00001 per share | 1/4/2021 | | F(4) | | 2739 | D | $5.80 | 117747 | 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 |
Stock Option (Right to Buy) | $5.80 | 1/4/2021 | | A | | 33000 | | 1/4/2022 (5) | 1/4/2031 | Common Stock | 33000 | $0.00 | 33000 | D | |
Explanation of Responses: |
(1) | Represents a restricted stock unit award ("RSU") of common stock under the Issuer's 2014 Equity Incentive Plan. One-third of the shares subject to the RSU shall vest on each one year anniversary of the grant date of the award. |
(2) | Includes 1,279 shares acquired on November 20, 2020 pursuant to the Issuer's 2014 Employee Stock Purchase Plan. |
(3) | The reported securities were subject to a performance restricted stock unit award that was granted on January 3, 2019, 33.33% of which vested
on January 4, 2021 upon the achievement of a non-financial performance goal. |
(4) | 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 performance restricted stock unit award. |
(5) | 25% of the shares subject to the option will vest on each anniversary of the grant date. |
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 | | 1/6/2021 |
**Signature of Reporting Person | Date |
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