Filing Details
- Accession Number:
- 0001140361-13-034572
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-29 16:18:16
- Reporting Period:
- 2013-08-27
- Filing Date:
- 2013-08-29
- Accepted Time:
- 2013-08-29 16:18:16
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1311596 | Regado Biosciences Inc | RGDO | Pharmaceutical Preparations (2834) | 030422069 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1579210 | Anton Gopka | 120 Mountain View Boulevard Basking Ridge NJ 07920 | 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, Par Value $0.001 Per Share | Acquisiton | 2013-08-27 | 1,369,988 | $0.00 | 1,369,988 | No | 4 | C | Indirect | See Footnote 3 |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-08-27 | 3,866,529 | $4.00 | 5,236,517 | No | 4 | P | Indirect | See Footnote 3 |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See Footnote 3 |
No | 4 | P | Indirect | See Footnote 3 |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.001 Per Share | Stock Option (right to buy) | Acquisiton | 2013-08-27 | 17,964 | $0.00 | 17,964 | $4.00 |
Common Stock, Par Value $0.001 Per Share | Series E Preferred Stock | Disposition | 2013-08-27 | 22,878,805 | $0.00 | 1,369,988 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
17,964 | 2023-08-27 | No | 4 | A | Direct | |
0 | No | 4 | C | Indirect |
Footnotes
- 100% of the shares underlying the option will vest on the one-year anniversary of the date of grant.
- The shares of Series E Preferred Stock had no expiration date and automatically converted upon the consummation of the initial public offering of Regado Biosciences, Inc. (the "Company") at a conversion ratio of 1 share of Series E Preferred Stock to 0.05988024 shares of common stock, for no additional consideration.
- The reportable securities are directly held by RMI Investments, S.a.r.l ("RMII"). The Reporting Person is a managing director of D-Pharma, the management company of RusnanoMedInvest, LLC ("RMI LLC"). RMII is a wholly-owned subsidiary of RMI LLC. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.