Close

Form 3 Viking Therapeutics, For: Jan 04 Filed by: ZANTE GREG

FREE Breaking News Alerts from StreetInsider.com!

E-mail Address

StreetInsider.com Top Tickers, 4/18/2024

1. LVS
2. TSM
3. SPY
4. CSX
5. UAL
6. ORCL
7. TSLA
8. CCI
9. INFY
10. AA


January 6, 2021 4:23 PM EST
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person *
ZANTE GREG
(Last) (First) (Middle)
C/O VIKING THERAPEUTICS, INC.
12340 EL CAMINO REAL, SUITE 250
(Street)
SAN DIEGO CA 92130
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/04/2021 		3. Issuer Name and Ticker or Trading Symbol
Viking Therapeutics, Inc. [ VKTX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Financial Officer
 5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 21,896 (1)
D
 
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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) 03/31/2021 (2) 03/31/2030 Common Stock 17,000 4.68 D  
Stock Option (Right to Buy) 01/03/2021 (3) 01/03/2030 Common Stock 51,000 7.77 D  
Stock Option (Right to Buy) 07/31/2020 (4) 07/31/2029 Common Stock 42,000 7.69 D  
Stock Option (Right to Buy) 01/15/2020 (5) 01/15/2029 Common Stock 32,000 8.52 D  
Stock Option (Right to Buy) 08/31/2018 (6) 08/31/2028 Common Stock 7,500 13.07 D  
Stock Option (Right to Buy)   (7) 04/30/2028 Common Stock 7,500 4.12 D  
Stock Option (Right to Buy)   (8) 01/19/2028 Common Stock 12,250 4.65 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; and (b) 15,111 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 22,666 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. 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.
5. 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.
6. 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.
7. 25% of the original 30,000 shares subject to the option vested on the grant date and 25% of the original 30,000 shares subject to the option vested or will vest on each one year anniversary of the grant date of April 30, 2018.
8. 25% of the original 24,500 shares subject to the option vested or will vest on each one year anniversary of the grant date of January 19, 2018.
/s/ Michael Morneau, as Attorney-in-Fact 01/06/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
Exhibit 24

POWER OF ATTORNEY

Know all by these presents, that the undersigned hereby constitutes and appoints
each of Brian Lian, Ph.D. and Michael Morneau, signing singly, the undersigned's
true and lawful attorney-in-fact and agent to:

(1)        execute for and on behalf of the undersigned, an officer, director
and/or holder of 10% or more of a registered class of securities of Viking
Therapeutics, Inc., a Delaware corporation (the "Company"), Forms 3, 4 and 5 in
accordance with Section 16(a) of the Securities Exchange Act of 1934, as
amended, and the rules promulgated thereunder;

(2)        do and perform any and all acts for and on behalf of the undersigned
that may be necessary or desirable to complete and execute any such Form 3, 4
and 5, complete and execute any amendment or amendments thereto, and timely file
such forms or amendments with the United States Securities and Exchange
Commission and any stock exchange or similar authority, as required; and

(3)        take any other action of any nature whatsoever in connection with the
foregoing which, in the opinion of any such attorney-in-fact, may be of benefit
to, in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted.  The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Securities Exchange Act of 1934, as amended.

This Power of Attorney shall remain in full force and effect with respect to the
undersigned until the earliest to occur of (a) such date that the undersigned is
no longer required to file Forms 3, 4 and 5 with respect to the undersigned's
holdings of and transactions in securities issued by the Company, or (b) the
revocation by the undersigned in a signed writing delivered to the Company and
the foregoing attorneys-in-fact.   This Power of Attorney shall terminate with
respect to each of the foregoing attorneys-in-fact at such time as such
attorney-in-fact is no longer employed by the Company or any of its
subsidiaries.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 1st day of January, 2021.


/s/ Greg Zante
Signature

Greg Zante
Print Name

Serious News for Serious Traders! Try StreetInsider.com Premium Free!

You May Also Be Interested In





Related Categories

SEC Filings