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
- Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted August 26, 2013.
- 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.
- 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.
- 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.
- 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.