SEC Form 4 · accession 0001209191-15-034045
Regulus Therapeutics Inc. · RGLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce L A Carter
Director
Period of report
Apr 13, 2015
Accepted (ET)
Apr 14, 2015 · 5:12 pm EDT
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 | Apr 13, 2015 | M | 20,000 | $4.78 | A | 20,000 | D | |
| Common StockF1 | Apr 13, 2015 | S | 20,000 | $17.6582 | D | 0 | D |
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 | $4.78 | Apr 13, 2015 | M | 20,000 | D | — | Oct 30, 2022 | Common Stock | 20,000 | 10,000 | D |
Explanation of responses
- F1The weighted average sale price for the transaction reported was $17.6582, and the range of prices were between $17.65 and $17.685. 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.
- F225% of the shares will vest on October 31, 2013 and the remainder of the shares will vest in equal installments on a monthly basis thereafter, such that the option is fully vested on October 30, 2016.