Viking Therapeutics (VKTX) Form 4 Viking Therapeutics / GREG ZANTE ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

ZANTE GREG

(Last) (First) (Middle)

C/O VIKING THERAPEUTICS, INC.

9920 PACIFIC HEIGHTS BLVD, SUITE 350

(Street)

SAN DIEGO CA 92121

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Viking Therapeutics, Inc. [ VKTX ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Financial Officer

3. Date of Earliest Transaction (Month/Day/Year)
04/11/2023

4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock, par value $0.00001 per share	04/11/2023		M(1)		3,242	A	$7.77	152,521	D
Common Stock, par value $0.00001 per share	04/11/2023		M(1)		8,500	A	$4.68	161,021	D
Common Stock, par value $0.00001 per share	04/11/2023		M(1)		30,000	A	$4.88	191,021	D
Common Stock, par value $0.00001 per share	04/11/2023		M(1)		14,553	A	$5.8	205,574	D
Common Stock, par value $0.00001 per share	04/11/2023		S(1)		56,295	D	$18.0037	149,279	D
Common Stock, par value $0.00001 per share	04/12/2023		M(1)		37,447	A	$5.8	186,726	D
Common Stock, par value $0.00001 per share	04/12/2023		M(1)		4,097	A	$7.77	190,823	D
Common Stock, par value $0.00001 per share	04/12/2023		S(1)		41,544	D	$18	149,279	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: 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)	$7.77	04/11/2023		M(1)			3,242	01/03/2021(2)	01/03/2030	Common Stock	3,242	$0.00	16,847(3)	D
Stock Option (right to buy	$4.68	04/11/2023		M(1)			8,500	03/31/2021(2)	03/31/2030	Common Stock	8,500	$0.00	8,500	D
Stock Option (right to buy	$4.88	04/11/2023		M(1)			30,000	01/03/2023(2)	01/03/2032	Common Stock	30,000	$0.00	90,000	D
Stock Option (right to buy	$5.8	04/11/2023		M(1)			14,553	01/04/2022(4)	01/04/2031	Common Stock	14,553	$0.00	63,447	D
Stock Option (right to buy	$5.8	04/12/2023		M(1)			37,447	01/04/2022(4)	01/04/2031	Common Stock	37,447	$0.00	26,000	D
Stock Option (right to buy)	$7.77	04/12/2023		M(1)			4,097	01/03/2021(2)	01/03/2030	Common Stock	4,097	$0.00	12,750	D

Explanation of Responses:

1. The transactions reported in this Form 4 were effected pursuant to a Rule10b5-1 trading plan adopted by the Reporting Person.

2. 25% of the shares subject to the option vested or will vest on each one year anniversary of the grant date.

3. The Form 4 filed by the Reporting Person on April 3, 2023 reporting, among other things, the exercise of 30,911 shares subject to this option on April 3, 2023 inadvertently indicated that there were 0 shares remaining subject to this option after such exercise. That Form 4 should have reflected that there were 20,089 shares remaining subject to this option after such exercise and the balance has been adjusted accordingly in this Form 4.

4. One-third of the shares subject to the option vested or will vest on each one year anniversary of the grant date.

Remarks:

	/s/ Michael Morneau as Attorney-in-Fact	04/13/2023
	** 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).
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