Lian Brian's Form 4 filing
Viking Therapeutics, Inc. (VKTX) · filed Apr 3, 2023
- Accession no.
- 0001209191-23-022400
- Filed
- Apr 3, 2023
- Trade date
- Mar 30-Apr 3, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 9 non-derivative transactions and 3 derivative transactions. Open-market sales total $4.21M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Lian BrianCIK 0001614578 | Director, Officer (President & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 30, 2023 | Common Stock, par value $0.00001 per share | MOption exerciseAcquired | +115,852 | $1.23 | +$142,497.96 | 2,388,815 | Direct | |
| Mar 30, 2023 | Common Stock, par value $0.00001 per share | MOption exerciseAcquired | +19,530 | $9.49 | +$185,339.7 | 2,408,345 | Direct | |
| Mar 30, 2023 | Common Stock, par value $0.00001 per share | SSaleDisposed | −88,000 | $16.95 | −$1,491,600 | 2,320,345 | Direct | |
| Mar 30, 2023 | Common Stock, par value $0.00001 per share | SSaleDisposed | −65,382 | $17.45 | −$1,140,915.9 | 2,254,963 | Direct | |
| Mar 31, 2023 | Common Stock, par value $0.00001 per share | MOption exerciseAcquired | +67,970 | $9.49 | +$645,035.3 | 2,322,933 | Direct | |
| Mar 31, 2023 | Common Stock, par value $0.00001 per share | SSaleDisposed | −67,970 | $17.45 | −$1,186,076.5 | 2,254,963 | Direct | |
| Apr 3, 2023 | Common Stock, par value $0.00001 per share | SSaleDisposed | −22,000 | $17.85 | −$392,700 | 2,232,963 | Direct | |
| Apr 3, 2023 | Common Stock, par value $0.00001 per share | AGrant or awardAcquired | +300,000 | $0.00 | $0 | 2,532,963 | Direct | |
| Apr 3, 2023 | Common Stock, par value $0.00001 per share | FTax withholdingDisposed | −200,000 | $17.57 | −$3,514,000 | 2,332,963 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 30, 2023 | Common Stock | MOption exerciseDisposed | −115,852 | $0.00 | $0 | 134,148 | Direct | |
| Mar 30, 2023 | Common Stock | MOption exerciseDisposed | −19,530 | $0.00 | $0 | 67,970 | Direct | |
| Mar 31, 2023 | Common Stock | MOption exerciseDisposed | −67,970 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.