Filing Details
- Accession Number:
- 0001209191-15-035362
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-21 19:06:32
- Reporting Period:
- 2015-04-17
- Filing Date:
- 2015-04-21
- Accepted Time:
- 2015-04-21 19:06:32
- 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 | 2015-04-17 | 73,929 | $0.38 | 77,634 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-04-17 | 73,929 | $16.94 | 3,705 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2015-04-20 | 66,071 | $0.38 | 69,776 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-04-20 | 66,071 | $16.85 | 3,705 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2015-04-21 | 60,000 | $0.38 | 63,705 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-04-21 | 60,000 | $17.73 | 3,705 | 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 | |
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 | 2015-04-17 | 73,929 | $0.00 | 73,929 | $0.38 |
Common Stock | Stock Option (Right to Buy) | Disposition | 2015-04-20 | 66,071 | $0.00 | 66,071 | $0.38 |
Common Stock | Stock Option (Right to Buy) | Disposition | 2015-04-21 | 60,000 | $0.00 | 60,000 | $0.38 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
134,358 | 2019-02-08 | No | 4 | M | Direct | |
68,287 | 2019-02-08 | No | 4 | M | Direct | |
8,287 | 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
- Includes an aggregate of 3,705 shares of Common Stock acquired by the Reporting Person pursuant to the Issuer's 2012 Employee Stock Purchase Plan, including 1,239 shares acquired on March 10, 2015.
- Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted March 16, 2015.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.70 to $17.31 inclusive. 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.45 to $17.41 inclusive. The reporting person undertakes to provide RGLS, any security holder of RGLS, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.43 to $18.30 inclusive. 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.