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
  1. Reported transaction occurred pursuant to Rule 10b5-1 Plan adopted August 26, 2013.
  2. 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.
  3. The shares subject to the option are fully vested.