We could not find any results for:
Make sure your spelling is correct or try broadening your search.
Share Name | Share Symbol | Market | Type |
---|---|---|---|
Viking Therapeutics Inc | NASDAQ:VKTX | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
1.24 | 1.64% | 77.00 | 62.22 | 80.50 | 77.68 | 72.88 | 74.40 | 3,754,256 | 05:00:07 |
|
UNITED STATES SECURITIES
|
OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
|
Notice of Exempt Offering of Securities
|
1. Issuer's Identity | ||
CIK (Filer ID Number) | Previous Name(s) x None | Entity Type |
0001607678
|
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other
|
|
Name of Issuer | ||
Viking Therapeutics, Inc.
|
||
Jurisdiction of Incorporation/Organization | ||
DELAWARE | ||
Year of Incorporation/Organization | |||
o | Over Five Years Ago | ||
x | Within Last Five Years (Specify Year) | 2012 | |
o | Yet to Be Formed |
2. Principal Place of Business and Contact Information | ||||
Name of Issuer | ||||
Viking Therapeutics, Inc. |
Street Address 1 | Street Address 2 | ||
12340 EL CAMINO REAL, SUITE 250 |
City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
SAN DIEGO | CALIFORNIA | 92130 | 858-704-4660 |
3. Related Persons |
Last Name | First Name | Middle Name |
Lian | Brian |
Street Address 1 | Street Address 2 |
c/o Viking Therapeutics, Inc. | 12340 El Camino Real, Suite 250 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92130 |
Relationship: | x | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
President, Chief Executive Officer and Director |
Last Name | First Name | Middle Name |
Morneau | Michael |
Street Address 1 | Street Address 2 |
c/o Viking Therapeutics, Inc. | 12340 El Camino Real, Suite 250 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92130 |
Relationship: | x | Executive Officer | o | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Chief Financial Officer |
Last Name | First Name | Middle Name |
Macartney | Lawson |
Street Address 1 | Street Address 2 |
c/o Viking Therapeutics, Inc. | 12340 El Camino Real, Suite 250 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92130 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Foehr | Matthew | W. |
Street Address 1 | Street Address 2 |
c/o Viking Therapeutics, Inc. | 12340 El Camino Real, Suite 250 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92130 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Singleton | J. | Matthew |
Street Address 1 | Street Address 2 |
c/o Viking Therapeutics, Inc. | 12340 El Camino Real, Suite 250 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92130 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Webster | Stephen | W. |
Street Address 1 | Street Address 2 |
c/o Viking Therapeutics, Inc. | 12340 El Camino Real, Suite 250 |
City | State/Province/Country | ZIP/Postal Code |
San Diego | CALIFORNIA | 92130 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
4. Industry Group |
o | Agriculture | Health Care | o | Retailing | ||||
Banking & Financial Services | x | Biotechnology | o | Restaurants | ||||
o | Commercial Banking | o | Health Insurance | Technology | ||||
o | Insurance | o | Hospitals & Physicians | o | Computers | |||
o | Investing | o | Pharmaceuticals | o | Telecommunications | |||
o | Investment Banking | o | Other Health Care | o | Other Technology | |||
o |
Pooled Investment Fund
|
Travel | ||||||
o | Other Banking & Financial Services | o | Manufacturing | o | Airlines & Airports | |||
Real Estate | o | Lodging & Conventions | ||||||
o | Commercial | o | Tourism & Travel Services | |||||
o | Construction | o | Other Travel | |||||
o | REITS & Finance | o | Other | |||||
o | Residential | |||||||
o | Other Real Estate | |||||||
o | Business Services | |||||||
Energy | ||||||||
o | Coal Mining | |||||||
o | Electric Utilities | |||||||
o | Energy Conservation | |||||||
o | Environmental Services | |||||||
o | Oil & Gas | |||||||
o | Other Energy |
5. Issuer Size |
Revenue Range | Aggregate Net Asset Value Range | ||
x | No Revenues | o | No Aggregate Net Asset Value |
o | $1 - $1,000,000 | o | $1 - $5,000,000 |
o | $1,000,001 - $5,000,000 | o | $5,000,001 - $25,000,000 |
o | $5,000,001 - $25,000,000 | o | $25,000,001 - $50,000,000 |
o | $25,000,001 - $100,000,000 | o | $50,000,001 - $100,000,000 |
o | Over $100,000,000 | o | Over $100,000,000 |
o | Decline to Disclose | o | Decline to Disclose |
o | Not Applicable | o | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
o | Rule 504(b)(1) (not (i), (ii) or (iii)) | o | Rule 505 | |||
o | Rule 504 (b)(1)(i) | x | Rule 506(b) | |||
o | Rule 504 (b)(1)(ii) | o | Rule 506(c) | |||
o | Rule 504 (b)(1)(iii) | o | Securities Act Section 4(a)(5) | |||
o | Investment Company Act Section 3(c) |
7. Type of Filing |
x | New Notice | Date of First Sale | 2017-06-19 | o | First Sale Yet to Occur |
o | Amendment |
8. Duration of Offering |
Does the Issuer intend this offering to last more than one year? | o | Yes | x | No |
9. Type(s) of Securities Offered (select all that apply) |
o | Pooled Investment Fund Interests | o | Equity |
o | Tenant-in-Common Securities | o | Debt |
o | Mineral Property Securities | x | Option, Warrant or Other Right to Acquire Another Security |
x | Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | o | Other (describe) |
10. Business Combination Transaction |
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? | o | Yes | x | No |
Clarification of Response (if Necessary) | ||||
11. Minimum Investment |
Minimum investment accepted from any outside investor | $ 0 USD |
12. Sales Compensation |
Recipient | Recipient CRD Number | o | None | ||
Maxim Group LLC | 120708 | ||||
(Associated) Broker or Dealer | x | None | (Associated) Broker or Dealer CRD Number | x | None |
Street Address 1 | Street Address 2 | ||||
405 Lexington Avenue |
City | State/Province/Country | ZIP/Postal Code |
New York | NEW YORK | 10174 |
State(s) of Solicitation | o | All States | o | Foreign/Non-US |
CALIFORNIA
ILLINOIS NEW YORK OHIO |
Recipient | Recipient CRD Number | o | None | ||
Roth Capital Partners, LLC | 15407 | ||||
(Associated) Broker or Dealer | x | None | (Associated) Broker or Dealer CRD Number | x | None |
Street Address 1 | Street Address 2 | ||||
888 San Clemente Drive | Suite 400 |
City | State/Province/Country | ZIP/Postal Code |
Newport Beach | CALIFORNIA | 92660 |
State(s) of Solicitation | o | All States | o | Foreign/Non-US |
CALIFORNIA
ILLINOIS NEW YORK OHIO |
13. Offering and Sales Amounts |
Total Offering Amount | $ 3656038 USD | o Indefinite |
Total Amount Sold | $ 0 USD | |
Total Remaining to be Sold | $ 3656038 USD | o Indefinite |
Clarification of Response (if Necessary) |
Represents aggregate exercise price of warrants to purchase 2,812,337 shares of the Company's common stock, which were issued in connection with an offering of 3,749,783 shares of the Company's common stock issued in a registered direct offering. |
14. Investors |
o |
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering |
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 10 |
15. Sales Commissions & Finders' Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
Sales Commissions | $ 269516 USD | o | Estimate |
Finders' Fees | $ 30000 USD | o | Estimate |
Clarification of Response (if Necessary) |
$269,516 is for a fee of 6.25% of the gross proceeds from the sale of securities in the private placement of warrants and concurrent registered direct offering, and $30,000 is for the reimbursement of expenses incurred by the placement agents. |
16. Use of Proceeds |
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
$ 0 USD | o | Estimate |
Clarification of Response (if Necessary) |
Signature and Submission |
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice. |
Terms of Submission |
In submitting this notice, each Issuer named above is: | ||
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person. | |
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature. |
Issuer | Signature | Name of Signer | Title | Date |
Viking Therapeutics, Inc. | /s/ Michael Morneau | Michael Morneau | Chief Financial Officer | 2017-06-22 |
1 Year Viking Therapeutics Chart |
1 Month Viking Therapeutics Chart |
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.
Support: +44 (0) 203 8794 460 | support@advfn.com
By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions