SEC Form 4 · accession 0001209191-15-021532
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
Feb 27, 2015
Accepted (ET)
Mar 3, 2015 · 5:27 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 | Feb 27, 2015 | M | 70 | $0.38 | A | 2,536 | D | |
| Common Stock | Feb 27, 2015 | S | 70 | $19.50 | 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)F2 | $0.38 | Feb 27, 2015 | M | 70 | D | — | Feb 8, 2019 | Common Stock | 70 | 297,517 | D |
Explanation of responses
- F1Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted November 25, 2014.
- F2The shares subject to the option are fully vested.