Form D · Biotechnology
Viking Therapeutics, Inc.
San Diego, CA · CIK 0001607678
Offering snapshot reported Jun 22, 2017 · SEC filing
- Reported sold
- $0 Offering amount: $3.66M
- Investors reported
- 10 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jun 19, 2017 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jun 22, 2017 | Initial | $0 | No comparison | 10 | SEC filing |
Offering details
- Securities
- Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $270K
- Finders' fees
- $30K
- Form D file number
- 021-289294
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.
$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.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Maxim Group LLC | 120708 | |
| Roth Capital Partners, LLC | 15407 |
Source: Form D, filed Jun 22, 2017. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Matthew W. Foehr | Director |
| Brian Lian | Director, Executive |
| Lawson Macartney | Director |
| Michael Morneau | Executive |
| J. Matthew Singleton | Director |
| Stephen W. Webster | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
12340 El Camino Real, Suite 250
San Diego, CA, 92130
San Diego, CA, 92130