Viking Therapeutics, Inc. 10-Q

Item 5. Other Information Insider Adoption or Termination of Trading Arrangements: During the fiscal quarter ended March 31, 2024, none of our directors or officers (as defined in Section 16 of the Securities Exchange Act of 1934, as amended) adopted or terminated any contract, instruction or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement,” as defined in Item 408(a) of Regulation S-K, except as described in the table below: Name & Title Date Adopted Type of Plan Aggregate Number of Shares of Common Stock to be Sold Pursuant to Trading Arrangement Duration Greg Zante , Chief Financial Officer February 2, 2024 Rule 10b5-1 trading arrangement 66,756 August 1, 2024 (1) Marianne Mancini , Chief Operations Officer February 1, 2024 Rule 10b5-1 trading arrangement 281,425 April 20, 2025 (1) 1. The trading arrangement permits transactions through and including the earlier to occur of (a) the date that all shares subject to the trading arrangement have been sold and (b) the date listed in the table. 62 Item 6. Exhibits Exhibit Number Description Registrant’s Form Date Filed with the SEC Exhibit Number 3.1 Amended and Restated Certificate of Incorporation. S-1 7/1/2014 3.3 3.2 Amended and Restated Bylaws of Viking Therapeutics, Inc., effective as of May 9, 2023. 8-K 5/11/2024 3.1 4.1 Form of Common Stock Certificate. S-1 7/1/2014 4.1 31.1 Certification of the Principal Executive Officer pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934. 31.2 Certification of the Principal Financial Officer pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934. 32.1 Certification of the Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 101.INS Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. 101.SCH Inline XBRL Taxonomy Extension Schema Document. 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document. 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document. 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document. 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document. 104 Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) Attached as Exhibit 101 to this report are the following formatted in iXBRL (Inline Extensible Business Reporting Language): (i) Consolidated Balance Sheets as of March 31, 2024 and December 31, 2023, (ii) Consolidated Statements of Operations and Comprehensive Loss for the three months ended March 31, 2024 and 2023, (iii) Consolidated Statements of Stockholders’ Equity (Deficit) for the three months ended March 31, 2024 and 2023, (iv) Consolidated Statements of Cash Flows for the three months ended March 31, 2024 and 2023, and (v) Notes to Consolidated Financial Statements. 63 SIGNAT URES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. Viking Therapeutics, Inc. Date: April 24, 2024 By: /s/ Brian Lian, Ph.D. Brian Lian, Ph.D. President, Chief Executive Officer and Director (Principal Executive Officer) Date: April 24, 2024 By: /s/ Greg Zante Greg Zante Chief Financial Officer (Principal Accounting and Financial Officer) 64