Filing Details
- Accession Number:
- 0001181431-12-054534
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-10-11 19:52:16
- Reporting Period:
- 2012-10-10
- Filing Date:
- 2012-10-11
- Accepted Time:
- 2012-10-11 19:52:16
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1505512 | Regulus Therapeutics Inc. | RGLS | Pharmaceutical Preparations (2834) | 264738379 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
897667 | T Stanley Crooke | C/O Regulus Therapeutics Inc. 3545 John Hopkins Court, Suite 210 San Diego CA 92121 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-10-10 | 6,299,500 | $0.00 | 6,299,500 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2012-10-10 | 750,000 | $4.00 | 7,049,500 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Preferred Stock | Disposition | 2012-10-10 | 6,299,500 | $0.00 | 6,299,500 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect |
Footnotes
- Upon the closing of the Issuer's initial public offering, every 2 shares of Series A Preferred Stock automatically converted into 1 share of Common Stock and had no expiration date.
- The shares are held by Isis Pharmaceuticals, Inc ("Isis"). The Reporting Person is an executive officer and director of Isis. The Reporting Person may be deemed to beneficially own the shares. The Reporting Person disclaims beneficial ownership of these shares except to the extent of her pecuniary interest therein.
- The shares were purchased at the Issuer's initial public offering.