Filing Details
- Accession Number:
- 0001209191-14-000372
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-01-02 20:52:02
- Reporting Period:
- 2014-01-02
- Filing Date:
- 2014-01-02
- Accepted Time:
- 2014-01-02 20:52:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1283304 | G Kleanthis Xanthopoulos | C/O Regulus Therapeutics Inc. 3545 John Hopkins Court, Suite 210 San Diego CA 92121 | President & Ceo | Yes | Yes | No | 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 | 2014-01-02 | 3,505 | $0.38 | 83,721 | No | 4 | M | Indirect | By the Xanthopoulos Family Trust dated September 30, 2011 |
| Common Stock | Disposition | 2014-01-02 | 3,505 | $7.25 | 80,216 | No | 4 | S | Indirect | By the Xanthopoulos Family Trust dated September 30, 2011 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | By the Xanthopoulos Family Trust dated September 30, 2011 |
| No | 4 | S | Indirect | By the Xanthopoulos Family Trust dated September 30, 2011 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2014-01-02 | 3,505 | $0.00 | 3,505 | $0.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 483,337 | 2019-02-08 | No | 4 | M | Direct |
Footnotes
- Reported transaction occurred pursuant to Rule 10b5-1 Plan adopted August 26, 2013.
- The weighted average sale price for the transaction reported was $7.2492, and the range of prices were between $7.13 and $7.39. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price will be provided.
- The shares subject to the option are fully vested.
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