Viking Therapeutics, Inc. 10-Q

Item 5. Other Information Insider Adoption or Termination of Trading Arrangements: During the fiscal quarter ended June 30, 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 Brian Lian , President, Chief Executive Officer and Director May 8, 2024 Rule 10b5-1 trading arrangement 330,000 August 8, 2025 (1) J. Matthew Singleton , Director May 16, 2024 Rule 10b5-1 trading arrangement 90,786 August 14, 2026 (1) Sarah K. Rouan , Ph.D., Director May 20, 2024 Rule 10b5-1 trading arrangement 44,000 August 19, 2025 (1) Lawson Macartney, Ph.D ., Director May 22, 2024 Rule 10b5-1 trading arrangement 38,000 February 21, 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 5/11/2023 3.1 4.1 Form of Common Stock Certificate. S-1 7/1/2014 4.1 10.1^* Master License Agreement, dated May 21, 2014, by and among Viking Therapeutics, Inc., Ligand Pharmaceuticals Incorporated and Metabasis Therapeutics, Inc. 10.2^* First Amendment to Master License Agreement, dated September 6, 2014, by and among Viking Therapeutics, Inc., Ligand Pharmaceuticals Incorporated and Metabasis Therapeutics, Inc. 10.3^* Second Amendment to Master License Agreement, dated April 8, 2015, by and among Viking Therapeutics, Inc., Ligand Pharmaceuticals Incorporated and Metabasis Therapeutics, Inc. 10.4# Viking Therapeutics, Inc. 2024 Equity Incentive Plan. S-8 5/22/2024 4.2 10.5# Form of Stock Option Award Agreement under the Viking Therapeutics, Inc. 2024 Equity Incentive Plan. S-8 5/22/2024 4.3 10.6# Form of Restricted Stock Unit Award Agreement under the Viking Therapeutics, Inc. 2024 Equity Incentive Plan. S-8 5/22/2024 4.4 10.7# Form of Restricted Stock Award Agreement under the Viking Therapeutics, Inc. 2024 Equity Incentive Plan. S-8 5/22/2024 4.5 10.8# 2024 Employee Stock Purchase Plan. S-8 5/22/2024 4.6 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 With Embedded Linkbase Documents. 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 June 30, 2024 and December 31, 2023, (ii) Consolidated Statements of Operations and Comprehensive Loss for the three and six months ended June 30, 2024 and 2023, (iii) Consolidated Statements of Stockholders’ Equity (Deficit) for the three and six months ended June 30, 2024 and 2023, (iv) Consolidated Statements of Cash Flows for the six months ended June 30, 2024 and 2023, and (v) Notes to Consolidated Financial Statements. * Filed herewith. 63 ^ Certain identified information has been omitted pursuant to Item 601(b)(10) of Regulation S-K because such information is both (i) not material and (ii) information that the Registrant treats as private or confidential. The Registrant hereby undertakes to furnish supplemental copies of the unredacted exhibit upon request by the SEC. 64 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: July 24, 2024 By: /s/ Brian Lian, Ph.D. Brian Lian, Ph.D. President, Chief Executive Officer and Director (Principal Executive Officer) Date: July 24, 2024 By: /s/ Greg Zante Greg Zante Chief Financial Officer (Principal Accounting and Financial Officer) 65