SEC Form 4 · accession 0001209191-15-009000
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 30, 2015
Accepted (ET)
Feb 3, 2015 · 5:39 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 30, 2015 | M | 3,300 | $0.38 | A | 5,766 | D | |
| Common StockF2 | Jan 30, 2015 | S | 3,300 | $19.5004 | D | 2,466 | D | |
| Common Stock | Feb 2, 2015 | M | 2,400 | $0.38 | A | 4,866 | D | |
| Common StockF3 | Feb 2, 2015 | S | 2,400 | $19.7667 | 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)F4 | $0.38 | Jan 30, 2015 | M | 3,300 | D | — | Feb 8, 2019 | Common Stock | 3,300 | 299,987 | D |
| Stock Option (Right to Buy)F4 | $0.38 | Feb 2, 2015 | M | 2,400 | D | — | Feb 8, 2019 | Common Stock | 2,400 | 297,587 | D |
Explanation of responses
- F1Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted November 25, 2014.
- F2The weighted average sale price for the transaction reported was $19.5004, and the range of prices were between $19.50 and $19.51. 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.
- F3The weighted average sale price for the transaction reported was $19.7667, and the range of prices were between $19.68 and $19.94. 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.
- F4The shares subject to the option are fully vested.