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
  1. 100% of the shares underlying the option will vest on the one-year anniversary of the date of grant.
  2. 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.
  3. 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.