Viking Therapeutics Inc
For the period ended Dec 31, 2023. Filed Feb 7, 2024.
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FY2023 · Filed Feb 7, 2024
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Item 15. Exhibits, Financial Statement Schedules
(a)(1) The Financial Statements required to be filed by Items 8 and 15(c) of this Annual Report on Form 10-K, and filed herewith, are as follows:
| Report of Independent Registered Public Accounting Firm | F-2 |
|---|---|
| Consolidated Balance Sheets | F-4 |
| Consolidated Statement of Operations and Comprehensive Loss | F-5 |
| Consolidated Statements of Stockholders’ Equity | F-6 |
| Consolidated Statements of Cash Flows | F-7 |
| Notes to Consolidated Financial Statements | F-8 |
(a)(2) Financial Statement Schedules have been omitted because they are either not applicable or the required information is included in the financial statements or notes thereto listed in (a)(1) above.
(a)(3) Exhibits.
The following exhibits are filed herewith or incorporated herein by reference:
| ExhibitNumber | Description | Registrant’sForm | Date Filedwith theSEC | ExhibitNumber |
|---|---|---|---|---|
| 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 |
| 4.2 | Description of Registrant’s Securities. | 10-K | 2/1/2023 | 4.2 |
| 10.1# | Form of Indemnification Agreement between Viking Therapeutics, Inc. and its directors and executive officers. | S-1 | 7/1/2014 | 10.1 |
| 10.2# | 2014 Equity Incentive Plan. | S-1/A | 3/2/2015 | 10.2 |
| 10.3# | Form of Stock Option Award Agreement (2014 Equity Incentive Plan). | S-1 | 7/1/2014 | 10.3 |
| 10.4# | Form of Restricted Stock Unit Award Agreement (2014 Equity Incentive Plan). | S-1 | 7/1/2014 | 10.4 |
| 10.5# | Form of Restricted Stock Award Agreement (2014 Equity Incentive Plan). | S-1/A | 9/2/2014 | 10.23 |
| 10.6# | Form of Stock Appreciation Rights Award Agreement (2014 Equity Incentive Plan). | S-1 | 7/1/2014 | 10.5 |
| 10.7# | 2014 Employee Stock Purchase Plan. | S-1/A | 3/2/2015 | 10.22 |
| 10.8# | Amendment No. 1 to 2014 Employee Stock Purchase Plan. | S-1 | 11/24/2015 | 10.8 |
| 10.9# | Employment Agreement, effective as of June 2, 2014, by and between Viking Therapeutics, Inc. and Brian Lian, Ph.D. | S-1/A | 9/2/2014 | 10.6 |
| 10.10# | First Amendment to Employment Agreement, effective as of March 14, 2016, by and between Viking Therapeutics, Inc. and Brian Lian, Ph.D. | 8-K | 3/15/2016 | 10.1 |
| ExhibitNumber | Description | Registrant’sForm | Date Filedwith theSEC | ExhibitNumber |
|---|---|---|---|---|
| 10.11#* · Non-Employee Director Compensation Policy. | ||||
| 10.12† | Master License Agreement, dated May 21, 2014, by and among Viking Therapeutics, Inc., Ligand Pharmaceuticals Incorporated and Metabasis Therapeutics, Inc. | S-1 | 7/1/2014 | 10.12 |
| 10.13† | First Amendment to Master License Agreement, dated September 6, 2014, by and among Viking Therapeutics, Inc., Ligand Pharmaceuticals Incorporated and Metabasis Therapeutics, Inc. | S-1/A | 9/8/2014 | 10.24 |
| 10.14† | Second Amendment to Master License Agreement, dated April 8, 2015, by and among Viking Therapeutics, Inc., Ligand Pharmaceuticals Incorporated and Metabasis Therapeutics, Inc. | S-1/A | 4/10/2015 | 10.30 |
| 10.15#† | Common Stock Purchase Agreement, dated February 20, 2014, by and between Viking Therapeutics, Inc. and Brian Lian, Ph.D. | S-1 | 7/1/2014 | 10.21 |
| 10.16# | Amendment No. 1 to Common Stock Purchase Agreement, dated May 4, 2015, by and between Viking Therapeutics, Inc. and Brian Lian, Ph.D. | 10-Q | 6/12/2015 | 10.5 |
| 10.17 | At-The-Market Equity Offering Sales Agreement, dated as of July 28, 2021, by and among Viking Therapeutics, Inc., Stifel, Nicolaus & Company, Incorporated Truist Securities, Inc. and H.C. Wainwright & Co., LLC. | S-3 | 7/28/2021 | 1.2 |
| 10.18 | Amendment No. 1 to At-the-Market Equity Offering Sales Agreement, dated as of July 26, 2023, by and among Viking Therapeutics, Inc., Stifel, Nicolaus & Company, Incorporated, Truist Securities, Inc., H.C. Wainwright & Co., LLC and BTIG, LLC. | 10-Q | 7/26/2023 | 10.1 |
| 21.1 | List of Subsidiaries of Viking Therapeutics, Inc. | 10-K | 2/9/2022 | 21.1 |
| 23.1 | Consent of Marcum LLP, Independent Registered Public Accounting Firm. | |||
| 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. | |||
| 97* | Viking Therapeutics, Inc. Clawback Policy | |||
| 101.INS | Inline XBRL Instance 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 XBRL (Extensible Business Reporting Language): (i) Consolidated Balance Sheets as of December 31, 2023 and December 31, 2022, (ii) Consolidated Statements of Operations and Comprehensive Loss for the years ended December 31, 2023 and 2022, (iii) Consolidated Statements of Stockholders’ Equity for the period from December 31, 2021 to December 31, 2023, (iv) Consolidated Statements of Cash Flows for the years ended December 31, 2023 and 2022, and (v) Notes to Consolidated Financial Statements.
- Filed herewith.
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