Filing Details
- Accession Number:
- 0001209191-14-063130
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-14 17:54:05
- Reporting Period:
- 2014-10-09
- Filing Date:
- 2014-10-14
- Accepted Time:
- 2014-10-14 17:54:05
- 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 #210 San Diego CA 92121 | President And 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 | 2014-10-09 | 105 | $0.38 | 2,571 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-10-09 | 105 | $7.00 | 2,466 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-10-14 | 400 | $0.38 | 2,866 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-10-14 | 400 | $7.00 | 2,466 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2014-10-09 | 105 | $0.00 | 105 | $0.38 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2014-10-14 | 400 | $0.00 | 400 | $0.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 452,892 | 2019-02-08 | No | 4 | M | Direct | |
| 452,492 | 2019-02-08 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 80,216 | Indirect | By the Xanthopoulos Family Trust dated September 30, 2011 |
Footnotes
- Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted August 26, 2013.
- The shares subject to the option are fully vested.
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