SEC Form 4 · accession 0001209191-15-007971
Regulus Therapeutics Inc. · RGLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kleanthis G Xanthopoulos
Officer — President and CEO · Director
Period of report
Jan 28, 2015
Accepted (ET)
Jan 30, 2015 · 5:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001505512
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 28, 2015 | M | 85,000 | $0.38 | A | 87,466 | D | |
| Common StockF2 | Jan 28, 2015 | S | 72,011 | $17.9669 | D | 15,455 | D | |
| Common StockF3 | Jan 28, 2015 | S | 12,989 | $18.6851 | D | 2,466 | D | |
| Common Stock | Jan 29, 2015 | M | 60,000 | $0.38 | A | 62,466 | D | |
| Common StockF4 | Jan 29, 2015 | S | 33,773 | $17.7659 | D | 28,693 | D | |
| Common StockF5 | Jan 29, 2015 | S | 26,227 | $18.4019 | D | 2,466 | D | |
| Common Stock | holding | — | — | — | 80,216 | I | By the Xanthopoulos Family Trust dated September 30, 2011 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F6 | $0.38 | Jan 28, 2015 | M | 85,000 | D | — | Feb 8, 2019 | Common Stock | 85,000 | 363,287 | D |
| Stock Option (Right to Buy)F6 | $0.38 | Jan 29, 2015 | M | 60,000 | D | — | Feb 8, 2019 | Common Stock | 60,000 | 303,287 | D |
Explanation of responses
- F1Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted November 25, 2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.44 to $18.44 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.45 to $18.95 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.18 to $18.18 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.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.20 to $18.62 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.
- F6The shares subject to the option are fully vested.