Filing Details

Accession Number:
0001209191-14-065581
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-10-31 16:50:27
Reporting Period:
2014-10-29
Filing Date:
2014-10-31
Accepted Time:
2014-10-31 16:50:27
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
1555918 W Neil Gibson C/O Regulus Therapeutics Inc.,
3545 John Hopkins Court, Suite 210
San Diego CA 92121
Chief Scientific Officer No 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 2014-10-29 2,500 $1.74 82,500 No 4 M Direct
Common Stock Disposition 2014-10-29 1,100 $18.68 81,400 No 4 S Direct
Common Stock Disposition 2014-10-29 1,200 $19.67 80,200 No 4 S Direct
Common Stock Disposition 2014-10-29 200 $20.41 80,000 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S 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 2014-10-29 2,500 $0.00 2,500 $1.74
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
114,000 2021-04-17 No 4 M Direct
Footnotes
  1. Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted August 26, 2013.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.30 to $19.27 inclusive. The reporting person undertakes to provide to 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.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.35 to $20.15 inclusive. The reporting person undertakes to provide to 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.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.40 to $20.41 inclusive. The reporting person undertakes to provide to 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.
  5. 25% of the shares vested on April 18, 2012 and the remainder of the shares vest in equal installments on a monthly basis thereafter, such that the option is fully vested on April 18, 2015.